Firm Description and Types of Advisory Services
Mueller is an investment adviser. Mueller provides the following types of investment advisory
services: Financial planning services and portfolio management services for individuals. Mueller
principally gives advice on, but does not necessarily recommend, all types of securities ranging
from government bonds to mutual funds and real estate. Mueller only recommends mutual
funds. Most of Mueller’s clients are individuals and high net worth individuals. Mueller also
works with pension and profit-sharing plans, businesses, charitable organizations, trusts and
estates.
Principal Owner
Mueller was founded in 1997 and is owned by Jeffrey L. Mueller, President, Chief Executive
Officer and Chief Compliance Officer.
Types of Advisory Services
Financial Planning and Investment Planning
Mueller specializes in assisting the client in determining goals and objectives and developing a
plan of action to achieve those goals and objectives over the client’s appropriate time horizon.
Financial planning and investment planning engagements can be freestanding, and Mueller may
not be involved in the implementation or monitoring aspects of the portfolio. When retained
under those circumstances, Mueller has no responsibility to monitor or review the performance
of items the client may or may not select.
Upon completion of a financial or investment planning review, the client may choose to have
Mueller assist in the implementation of the plan.
Diamond and Platinum Model Asset Management
Mueller provides Asset Management Services for clients with accounts totaling over $500,000
using Diamond Model Asset Management, and uses Platinum Model Asset Management for
clients with accounts totaling between $150,000 and $500,000. For Diamond and Platinum
Asset Management Clients, Mueller generally develops a written Investment Policy Statement
(IPS) to establish a clear understanding between as to the client’s Investment Goals, Objectives
and Management Policies for the investment portfolio. The IPS covers the following areas, (as
applicable): a review of the client’s circumstances, the purpose of the portfolio and its time
horizon, portfolio goals, tax considerations, investor goals, investment policy objectives,
anticipated liquidity needs, investment philosophy and proposed asset allocation, investment
selection, constraints, risk tolerance, monitoring intervals, and portfolio loans.
Gold and Silver Model Asset Management
Mueller provides Asset Management Services for clients with accounts totaling between
$25,000 and $150,000 using Gold Model Asset Management, and uses Silver Model Asset
Management for clients with accounts totaling under $25,000. In Model Asset Management,
the client determines an Allocation Selection (Conservative, MODERATE, Balanced, GROWTH or
Aggressive) based upon discussions with Mueller.
Tailored Relationships
Mueller
tailors investment advisory services to the individual needs of the client. The goals and
objectives for each client are documented in our client relationship management system.
Mueller clients can impose restrictions on the investments in their account. Mueller may accept
any reasonable limitation or restriction to discretionary authority on the account placed by the
client. All limitations and restrictions placed on accounts must be presented to Mueller in
writing.
Fiduciary Statement
We are fiduciaries under the Investment Advisers Act of 1940 and when we provide investment
advice to you regarding your retirement plan account or individual retirement account, we are
also fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act,
(“ERISA”) and/or the Internal Revenue Code, (“IRC”), as applicable, which are laws governing
retirement accounts.
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. We must take into
consideration each client’s objectives and act in the best interests of the client. We are
prohibited from engaging in any activity that is in conflict with the interests of the client. We
have the following responsibilities when working with a client:
• To render impartial advice;
• To make appropriate recommendations based on the client’s needs, financial
circumstances, and investment objectives;
• To exercise a high degree of care and diligence to ensure that information is presented
in an accurate manner and not in a way to mislead;
• To have a reasonable basis, information, and understanding of the facts in order to
provide appropriate recommendations and representations;
• Disclose any material conflict of interest in writing; and
• Treat clients fairly and equitably.
Regulations prohibit us from:
• Employing any device, scheme, or artifice to defraud a client;
• Making any untrue statement of a material fact to a client or omitting to state a material
fact when communicating with a client;
• Engaging in any act, practice, or course of business which operates or would operate as
fraud or deceit upon a client; or
• Engaging in any manipulative act or practice with a client.
We will act with competence, dignity, integrity, and in an ethical manner, when working with
clients. We will use reasonable care and exercise independent professional judgement when
conducting investment analysis, making investment recommendations, trading, promoting our
services, and engaging in other professional activities.
Wrap Fee Programs
Mueller does not participate in a Wrap Fee Program.
Client Assets
As of December 31, 2023, Mueller manages $155,656,052 in assets under management.
$150,291,045 is managed on a discretionary basis, and $5,365,007 is managed on a non-
discretionary basis.