Thomas Doll

Thomas Doll is a registered investment adviser firm located in Walnut Creek, CA, established in 1999. The firm offers financial planning services, including qualitative and quantitative analysis, personalized financial plans, and periodic updates for a fee of approximately $2,000. Wealth management services involve determining investment objectives, designing an investment policy statement, and monitoring client portfolios primarily consisting of mutual funds, with a minimum investment of $100,000. The firm may utilize the Institutional Intelligent Portfolios® program platform for certain clients, branded as "TD SMART Investing," with an annual fee of 0.50%. TD also provides advisory services for participant-directed retirement plans and manages client portfolios through the SEI Management Program. Fees for wealth management services are charged as a percentage of assets under management, ranging from 0.60% to 1.00%. TD does not charge performance-based fees and does not vote proxies on behalf of clients. The firm does not have any disciplinary information and has no financial commitments that impair its ability to meet client obligations. Clients are responsible for voting proxies for securities in their portfolios.