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FAQ


Frequently Asked Questions (FAQ)

1. What licenses do you hold? Are you registered with the SEC, a state, or FINRA?

Mr. Freund holds a series 65 license and is registered with the Financial Industry Regulatory Authority (FINRA) and the State of Massachusetts Securities Division as a Registered Investment Advisor Representative.

Freund Investing, LLC, is also registered with FINRA and both the State of Massachusetts Securities Division and the Massachusetts Corporations Division as a Registered Investment Advisor firm.

2. What products and services do you offer?

Freund Investing is in the business of managing Client portfolios of securities consisting of stocks, bonds, ETFs, or mutual funds. This includes regular investment accounts as well as Individual Retirement Accounts (IRAs).

We do not, however, however, provide guidance on insurance products, tax strategies, estate planning, budgeting and saving, or retirement planning. All of these are performed by Personal Financial Advisors, which we are not.

Click here for more information on our services.

3. Can you only recommend a limited number of products or services to me? If so, why?

Because we are an independent Investment Advisor firm, we have the freedom to recommend any stocks, bonds, ETFs, or mutual funds we think are in your best interest. We do not get paid commissions for ANY products we buy/sell for you, which ensures our incentives are aligned. This is something non-independent Investment Advisors cannot say.

4. How are you paid for your services? What is your usual hourly rate, flat fee, or commission?

We are paid a percentage of assets under management as an annual fee, paid out quarterly. There is a sliding scale of percentages, based on how much we manage per Client. This scale is available upon request, but as a benchmark, any account worth less than $100,000 is charged at 2% per annum.

For example, if we managed an account worth $50,000, the annual fee would be 2% of assets under management, and thus the Client would pay $1,000 per year for our services. This fee is withdrawn directly from the Client’s account at a rate of 0.50% per quarter (0.5% times 4 quarters = 2% per annum). This means the Client would be paying $250 per quarter.

5. Have you ever been disciplined by any government regulator for unethical or improper conduct or been sued by a Client who was not happy with the work you did?

No, neither Mr. Freund nor Freund Investing, LLC, has been disciplined by any government regulator, nor have we ever been sued by any of our Clients.

6. Will you send me a copy of both parts of your Form ADV?

This information is readily available upon request.

This communication is strictly intended for individuals residing in the state of Massachusetts (MA). No offers may be made or accepted from any resident outside Massachusetts due to various state regulations and registration requirements regarding investment products and services.


Freund Investing, LLC is a Registered Investment Advisor firm in the State of Massachusetts (MA) and headquartered in Worcester, Massachusetts (MA). Freund Investing provides investment advisory services, as well as portfolio, wealth, capital, and asset management services for a broad range of individual and institutional clients. Freund Investing, based in Worcester, Massachusetts (MA) and Boston, Massachusetts (MA) provides stock market investment and investing advice for the intelligent investor. To do so, Freund Investing publishes stock market investment and investing advice through both insightful commentary and the investment advisory, portfolio, wealth, capital, and asset management services to clients within the Commonwealth of Massachusetts (MA).