A.Hawke Financial Group, LLC (“HFG”) is a Limited Liability Company formed on February 20, 2002 in the state of Idaho and is owned wholly by Jason S. Hawke.
HFG provides the following services: Portfolio Management Services. HFG provides ongoing portfolio management services to individuals, families and businesses. When providing portfolio management services, the firm not only makes recommendations related to investments, but also implements these recommendations and provides ongoing monitoring and management of each account. Each portfolio is tailored to the individual needs of a particular client (whether an individual, a family or a business) through an assessment conducted prior to an engagement. Clients may impose restrictions related to the level of discretion granted, the types of investments used, etc. Clients that determine to engage HFG on a non-discretionary investment basis must be willing to accept that HFG cannot effect any account transactions without obtaining prior consent to any such transaction(s) from the client. Thus, in the event of a market correction during which the client is unavailable, HFG will be unable to effect any account transactions (as it would for its discretionary clients) without first obtaining the client’s consent. Terms of an actual engagement, including description of service, limitations and restrictions, fees, etc., are all detailed before any engagement begins in a written client agreement Pension Consulting Services. HFG offers consulting services to pension or other employee benefit plans (including but not limited to 401(k) plans). Pension consulting may include, but is not limited to: ● identifying investment objectives and restrictions ● providing guidance on various assets classes and investment options ● recommending money managers to manage plan assets in ways designed to achieve ● objectives ● monitoring performance of money managers and investment options and making recommendations for changes ● recommending other service providers, such as custodians, administrators and broker- dealers ● creating a written pension consulting plan ● These services are based on the goals, objectives, demographics, time horizon, and/or risk tolerance of the plan and its participants.
Financial Planning and Consulting Services HFG provides financial planning and/or consulting services (including investment and non-investment related matters, including estate planning, insurance planning, etc.) on a stand-alone separate fee basis.
HFG’s planning and consulting fees are negotiable, HFG charges up to $300 on an hourly rate basis, depending upon the level and scope of the service(s) required and the professional(s) rendering the service(s). Prior to engaging HFG to provide planning or consulting services, clients are required to enter into a Financial Planning and Consulting Agreement with HFG setting forth the terms and conditions of the engagement (including termination), describing the scope of the services to be provided, and the portion of the fee that is due from the client prior to HFG commencing services. If requested by the client, HFG may recommend the services of other professionals for implementation purposes. The client is under no obligation to engage the services of any such recommended professional. The client retains absolute discretion over all such implementation decisions and is free to accept or reject any recommendation from HFG. Please Note: If the client engages any such recommended professional, and a dispute arises thereafter relative to such engagement, the client agrees to seek recourse exclusively from and against the engaged professional. Please Also Note: It remains the client’s responsibility to promptly notify HFG if there is ever any change in their financial situation or investment objectives for the purpose of reviewing, evaluating or revising HFG’s previous recommendations and/or services.
Miscellaneous Limitations of Financial Planning and Non-Investment Consulting/Implementation Services. As indicated above, HFG may provide financial planning and related consulting services regarding non-investment related matters, such as estate planning, tax planning, insurance, etc. HFG does not serve as an attorney, accountant, or insurance agency, and no portion of its services should be construed as legal, accounting, or insurance brokerage services. Accordingly, HFG does not prepare estate planning documents, tax returns or sell insurance products. To the extent requested by a client, HFG may recommend the services of other professionals for certain non-investment implementation purposes (i.e. attorneys, accountants, insurance agents, etc.). Clients are reminded that they are under no obligation to engage the services of any such recommended professional. The client retains absolute discretion over all such implementation decisions and is free to accept or reject any recommendation made by HFG or its representatives or any affiliated entities. Please Note: If the client engages any recommended professional, and a dispute arises thereafter relative to such engagement, the client agrees to seek recourse exclusively from and against the engaged professional.
Independent Managers. HFG may allocate (and/or recommend that the client allocate) a portion of a client’s investment assets among unaffiliated independent investment managers in accordance with the client’s designated investment objective(s). In such situations, the Independent Manager(s) shall have day-to-day responsibility for the active discretionary management of the allocated assets. HFG shall continue to render investment services to the client relative to the ongoing monitoring and review of account performance, asset allocation and client investment objectives. Factors which HFG shall consider in recommending Independent Manager(s) include the client’s designated investment objective(s), management style, performance, reputation, financial strength, reporting, pricing, and research. Please Note: The investment management fee charged by the Independent Manager(s) is separate form, and in addition to, HFG’s fee as set forth in the schedule at Item 5 below.
Please Note: Non-Discretionary Service Limitations. Clients that determine to engage HFG on a non-discretionary investment basis must be willing to accept that HFG cannot effect any account transactions without obtaining prior consent to any such transaction(s) from the client. Thus, in the event of a market correction during which the client is unavailable, HFG will be unable to effect any account transactions (as it would for its discretionary clients) without first obtaining the client’s consent.
Investment Advice Relating to Retirement Accounts. When HFG provides investment advice regarding a retirement plan account or individual retirement account, HFG is a fiduciary within the meaning of Title

I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours.
As such, HFG is subject to specific duties and obligations under ERISA and the IRC that include, among other things, prohibited transaction rules which are intended to prohibit fiduciaries from acting on conflicts of interest. When a fiduciary gives advice in which it has a conflict of interest, the fiduciary must either avoid or eliminate the conflict or rely upon a prohibited transaction exemption (a “PTE”).
Under this special rule’s provisions, HFG must: ● Meet a professional standard of care when making investment recommendations (give prudent advice); ● Never put our financial interests ahead of yours when making recommendations (give loyal advice); ● Avoid misleading statements about conflicts of interest, fees, and investments; ● Follow policies and procedures designed to ensure that we give advice that is in your best interest; ● Charge no more than is reasonable for our services; and ● Give you basic information about conflicts of interest.
Retirement Rollovers Conflict of Interest. To the extent HFG recommends you roll over your account from a current retirement plan account to an individual retirement account managed by HFG, please know that HFG and our investment adviser representatives have a conflict of interest.
We can earn increased investment advisory fees by recommending that you roll over your account at the retirement plan to an IRA managed by HFG. We will earn fewer investment advisory fees if you do not roll over the funds in the retirement plan to an IRA managed by HFG.
Thus, our investment adviser representatives have an economic incentive to recommend a rollover of funds from a retirement plan to an IRA which is a conflict of interest because our recommendation that you open an IRA account to be managed by our firm can be based on our economic incentive and not based exclusively on whether or not moving the IRA to our management program is in your overall best interest.
We have taken steps to manage this conflict of interest. We have adopted an impartial conduct standard whereby our investment adviser representatives will (i) provide investment advice to a retirement plan participant regarding a rollover of funds from the retirement plan in accordance with the fiduciary status described below, (ii) not recommend investments which result in HFG receiving unreasonable compensation related to the rollover of funds from the retirement plan to an IRA, and (iii) fully disclose compensation received by HFG and our supervised persons and any material conflicts of interest related to recommending the rollover of funds from the retirement plan to an IRA and refrain from making any materially misleading statements regarding such rollover.
When providing advice to your regarding a retirement plan account or IRA, our investment advisor representatives will act with the care, skill, prudence, and diligence under the circumstances then prevailing that a prudent person acting in a like capacity and familiar with such matters would use in the conduct of an enterprise of a like character and with like aims, based on the investment objectives, risk, tolerance, financial circumstances, and a client’s needs, without regard to the financial or other interests of HFG or our affiliated personnel. No client is under any obligation to rollover retirement plan assets to an account managed by HFG.
Use of Mutual and Exchange Traded Funds: Most mutual funds and exchange traded funds are available directly to the public. Thus, a prospective client can obtain many of the funds that may be utilized by HFG independent of engaging HFG as an investment. However, if a prospective client determines to do so, he/she will not receive HFG’s initial and ongoing investment services. Please Note: In addition to HFG’s investment fee described below, and transaction and/or custodial fees discussed below, clients will also incur, relative to all mutual fund and exchange traded fund purchases, charges imposed at the fund level (e.g. management fees and other fund expenses).
Portfolio Activity. HFG has a fiduciary duty to provide services consistent with the client’s best interest.
As part of its investment services, HFG will review client portfolios on an ongoing basis to determine if any changes are necessary based upon various factors, including, but not limited to, investment performance, fund manager tenure, style drift, account additions/withdrawals, and/or a change in the client’s investment objective. Based upon these factors, there may be extended periods of time when HFG determines that changes to a client’s portfolio are neither necessary nor prudent. Of course, as indicated below, there can be no assurance that investment decisions made by HFG will be profitable or equal any specific performance level(s) Please Note: Cash Positions. At any specific point in time, depending upon perceived or anticipated market conditions/events (there being no guarantee that such anticipated market conditions/events will occur), HFG may maintain cash positions for defensive purposes. All cash positions (money markets, etc.) shall be included as part of assets under management for purposes of calculating HFG‘s fee.
Client Obligations. In performing its services, HFG shall not be required to verify any information received from the client or from the client’s other professionals, and is expressly authorized to rely thereon. Moreover, each client is advised that it remains their responsibility to promptly notify HFG if there is ever any change in their financial situation or investment objectives for the purpose of reviewing, evaluating or revising HFG’s previous recommendations and/or services.
Disclosure Statement. A copy of HFG’s written Brochure as set forth on Part 2A of Form ADV shall be provided to each client prior to, or contemporaneously with, the execution of the Investment Agreement or Financial Planning and Consulting Agreement.
C.HFG shall provide investment services specific to the needs of each client. Prior to providing investment services, an investment adviser representative will ascertain each client’s investment objective(s). Thereafter, HFG shall allocate and/or recommend that the client allocate investment assets consistent with the designated investment objective(s). The client may, at any time, impose reasonable restrictions, in writing, on HFG’s services.
D.HFG does not participate in a wrap fee program.
E.As of March 25, 2024 total assets under management are $198,314,295 on a discretionary basis and $0 assets under management on a non-discretionary basis.