Alexander M. Wertz
Professional summary
Alexander Michael Wertz is a registered financial advisor currently at JOHNSON INVESTMENT COUNSEL, INC. located in Cincinnati, Ohio.
Alexander is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Alexander has worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
JOHNSON INVESTMENT COUNSEL, INC. - Registered Investment Advisory firm
Version Date: Fri Mar 25 2022Johnson Investment Counsel, Inc. (“Johnson”) is registered with the Securities and Exchange Commission as an investment adviser and, as such, we provide advisory services rather than brokerage services. Brokerage and investment advisory servicesand fees differ and it is important for you, our client, to understand the differences. Additionally, free and simple tools areavailable to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing. This document is a summary of the services and fees we offerto "retail" investors, which are natural persons who seek or receive services primarily for personal, family, or household purposes.
Fees and Costs:
The following summarizes the principal fees and costs associated with engaging our firm for investment advisory services. For detailed information, refer to our Form ADV Part 2A, Items 5 and 6 by clicking this link https://adviserinfo.sec.gov/firm/brochure/117054.
Asset based advisory fees are payable semi-annually in arrears. Since the fees we receive are asset-based (i.e. based on the value of your account), we have an incentive to encourage you to increase the amount of money invested in those accounts.
Other fees and costs not mentioned above may be imposed by third parties, such as custodial fees, fees related to mutual funds and exchange-traded funds, transaction charges when purchasing or selling securities, and brokerage fees and commissions. Advisory fees charged by third party money managers are also separate and apart from our 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 $10,000 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 adviser, we have to act in your best interest and not put our interest ahead of yours. 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 affiliated with Johnson Trust Company ("JTC"), a wholly owned subsidiary of Johnson through common control and ownership. We may recommend that you use the services of JTC if appropriate and suitable for your needs. Our advisory services are separate and distinct from the compensation paid to Johnson Trust Company for their services.
We advise some clients and prospective clients to invest in Johnson Mutual Funds Trust ("JMF"). JMF is a family of no-load mutual funds and is affiliated with our firm. JMF is a registered investment company, which has contracted with JIC to be the investment advisor. We are the sponsor and advisor to Johnson Mutual Funds Trust. JMF has contracted with Johnson Financial, Inc. ("JFI"), which is a wholly owned subsidiary of Johnson Investment Counsel, to do all fund accounting, shareholder accounting, and administrative servicing for the mutual funds.
We receive client referrals from Charles Schwab & Co., Inc. ("Schwab") through our participation in Schwab Advisor Network® ("the Service"). The Service is designed to help investors find an independent investment advisor. Schwab is a broker-dealer independent of and unaffiliated with us.
Refer to our Form ADV Part 2A by clicking this link https://adviserinfo.sec.gov/firm/brochure/117054 to help you understand what conflicts exist.
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?
The financial professionals servicing your account(s) are compensated in the following ways: salary; bonus; and possibly equity ownership. Financial professionals' compensation is based on a comprehensive evaluation of their job performance which includes the amount of client assets they service. The bonus compensation paid to our financial professionals may involve a conflict of interest because they have a financial incentive to refer clients to our firm.
Certified licenses
Experience
April 19, 2022 - Present
JOHNSON INVESTMENT COUNSEL, INC.
Office #1: 3777 West Fork Road, Cincinnati, OH 45247Primary Firm SEC Registration
JOHNSON INVESTMENT COUNSEL, INC.
CRD#: 117054 / SEC#: 801-60676
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/19/2022)
(9/25/2024)
Exams
Current Firm
JOHNSON INVESTMENT COUNSEL, INC.
CRD#: 117054 / SEC#: 801-60676
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,634 |
| AUM (Assets Under Management) | $ 20,872,135,890 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/22/2025 | ||
| 06/12/2024 | ||
| 10/20/2023 |
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
JOHNSON INVESTMENT COUNSEL, INC.
CRD#: 117054Cincinnati, OH 45247TRUST BUT VERIFY
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