Helen A. Dietz
Professional summary
Helen Ann Dietz, CFP® is a registered financial advisor currently at ASPIRIANT, LLC located in Mountain View, California.
Helen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Helen has worked at 5 firms and has passed the SIE, Series 7, Series 51 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
ASPIRIANT, LLC - Registered Investment Advisory firm
Version Date: Tue Jun 25 2024Aspiriant, LLC is registered with the Securities and Exchange Commission as an investment advisor. Investment advisors and brokerage firms charge fees differently for the services they provide, and it is important that you understand the differences. Free and simple tools are available to research firms and financial professionals at investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisors and investing.
Fees and Costs:
Investment Management Services — We charge a percentage of assets under management for investment management services for most clients. These fees are assessed quarterly, in arrears, based on the average daily value of your investments. You should understand that the greater the investment value in your account, the more you will pay in fees. This means we have an incentive for you to increase the investments under our management. If the value of your investments increases or decreases, our fees go up or down, aligning our interests. Our investment management fees can also be charged as a fixed fee in some client situations. We charge separate fees for additional services provided.
Wealth Planning Services — We charge a quarterly retainer, in advance, for agreed-upon wealth planning services. We also charge you hourly or fixed fees, in arrears, for services beyond the scope of those covered by the retainer.
Additional Miscellaneous Fees — In addition to our fees, you may incur additional fees and costs related to the investments in your account, such as asset custody fees, transaction and trading costs, surrender charges, and other product-related fees such as redemption fees. You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
Questions to ask your Professional:
- Help me understand how these fees and costs might affect my investments? If I give you $1.5 million to invest, how much will go to fees and costs, and how much will be invested for me?
Conflicts of Interest:
When we act as your investment advisor, we must act in your best interest and not put our interest ahead of yours. We are fiduciaries when we provide investment advice to you. We are a fee-only advisor, and therefore only make money from the fees you pay us. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means:
We are the investment advisor to the Aspiriant Mutual Funds (Fund), both open-end and interval funds (a version of a closed-end mutual fund). These Funds pay fees to us, creating a conflict because our revenue increases as the Funds grow. We mitigate that conflict by rebating your fees that exceed our costs of operating the Funds. Additionally, we value certain investments held in these funds.
We receive soft dollars from custodians and investment managers in the form of research tools and other services provided at no charge to us. This is a conflict of interest because it can cause us to favor a relationship with those companies.
Questions to ask your Professional:
- How might your conflicts of interest affect me, and how will you address them?
How do your financial professionals make money?
Our financial professionals receive a salary, an incentive bonus and profit sharing. The incentive pay for our professionals is primarily a result of business development generated by the exceptional client service we provide to our existing clients. The incentive bonus may include amounts based on new clients and/or assets added by existing clients. This creates a conflict of interest because our financial professionals have an incentive to increase the amount of investments we manage for you.
Certified licenses
Start date: 2016
Education
Rutgers University
B.A. - Business and English
Experience
February 1, 2017 - Present
ASPIRIANT, LLC
Office #1: 2570 W. El Camino Real Suite 520, Mountain View, CA 94040July 8, 1997 - February 9, 2017
STANFORD INVESTMENT GROUP, INC.
October 19, 1987 - February 2, 2016
STANFORD INVESTMENT GROUP, INC.
April 22, 1987 - November 13, 1987
RANCON SECURITIES CORPORATION
March 7, 1985 - April 28, 1987
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
October 16, 1984 - February 8, 1985
CHANDLER-ROBERTS, INC.
Primary Firm SEC Registration
ASPIRIANT, LLC
CRD#: 146720 / SEC#: 801-68987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/1/2017)
(3/8/2019)
Exams
Current Firm
ASPIRIANT, LLC
CRD#: 146720 / SEC#: 801-68987
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,731 |
| AUM (Assets Under Management) | $ 15,532,934,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 12/20/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ASPIRIANT, LLC
Managing Director in Total Wealth Management, PartnerCRD#: 146720Mountain View, CA 94040TRUST BUT VERIFY
Monitor Helen Dietz
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