Rod Schauer

Complete Investment Advisory LLC

3211 Fiechtner Dr
Suite 6

Fargo, ND 58103

701-277-9392

Your Secure Retirement is our Business

About Complete Investment Advisory LLC

Complete Investment Advisory is a fee based Investment Advisory firm dedicated to helping clients invest without the concerns of commissions getting in the way of sound advice with the focus on your future not our current commission.

We help clients design a future that fits their risk tolerance and rate of return needed to accomplish their goals.

We have a Chartered Financial Consultant on staff to help you plan your future using sound financial principal for your life and the life of your money beyond you.

See Disclosures

General Information

Firm Start Year

1980

No. of Employees

2-4

CRD#

6023553

Firm CRD#

166876

Insurance License#

658863

Name of Broker/Dealer

Name of Custodial Firm

TD Ameritrade

States Licensed in

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

Chartered Financial Consultant and income tax preparer

Work with the following types of clients

Individual Investors, Non-Profit Organizations, Businesses

Foreign Languages Serviced

Advisory Services Provided

Tax Advice and Services, Annuities, Insurance Planning, Financial Planning for Individuals, Financial Advice & Consulting, Estate Planning & Trusts, Portfolio Management, Retirement Planning, 401K Rollovers, Risk Management, Money Management, Wealth Management

Services

Investment Types

Exchange Traded Funds (ETFs), Bonds, Stocks, Insurance, Mutual Funds, Options & Futures, Commodities, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Our Office, Phone, Email, Your Home

Compliance

Registered Investment Advisor

Yes

Investment Advisor Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

ChFC^®, Chartered Financial Consultant

Securities Licenses

Series 65

Insurance and Annuity Licenses

Long Term Care, Life, Health, Annuity

Firm Information

Firm's Number of Clients

215

Firm's Number of Planning Clients

Firm's Number of Managed Clients

Assets Managed by Firm

Advisor's Number of Clients

180

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

Assets Managed by Advisor

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

50,000

Compensation Methods

Hourly

Fee % Based on Assets

1.5%-.05%

Hourly Rate

$250.00

Flat Fee Rate

Additional Details on Charges

We design you financial plan and investment strategy to help achieve your goals.

Minimum Fee Charged for Managed Accounts

Minimum Fee Charged for Hourly Planning Accounts

Minimum Fee Charged for Flat Fee Accounts

Disclosures

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Additional Detailed Disclosures

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We pre-screen advisors for: - Experience (minimum FIVE years required) - Advisor Compensation (fee-based or fee-only) - Licensing and disclosures with SEC.

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