Description of Firm Faith Investor Services, LLC d/b/a Faith Investor Services ("FIS") is a registered investment adviser primarily based in Dallas, TX. We are organized as a limited liability company ("LLC") under the laws of the State of DE. We have been providing investment advisory services since May 2021. We are primarily owned by Steven T. Nelson, CFA, Chairman.
As used in this brochure, the words "we," "our" and "us" refer to Faith Investor Services, and the words "you," "your" and "client" refer to you as either a client or prospective client of our firm. Also, you may see the term associated person throughout this brochure. As used in this brochure, our associated persons are our firm's officers, employees, and all individuals providing investment advice on behalf of our firm.
Investment Management Services Faith Investor Services provides investment management services to a registered investment company, individuals, high net worth individuals, not-for-profit and other institutions. Faith Investor Services specializes in global investment management and also provides wealth management services. Faith Investor Services manages a wrap fee program and provides continuous portfolio management.
Advisory services are described in the financial services agreements ("FSA") negotiated with clients prior to provision of advisory services.
All information contained in this Brochure is based on the advisory services that Faith Investor Services offers. No disclosure or other statement contained in this brochure serves as a substitute or shall supersede any of the terms and conditions in the FSAs. To the extent any of the statements herein conflict with the FSAs, such FSAs shall govern, and Faith Investor Services and its clients will be bound by the terms, fees, conditions, risks and other relevant information contained in the FSAs.
Advisory Services for Accounts Not Directly held in FIS Custody We provide an additional service for accounts not directly held in our custody, but where we do have discretion, and may leverage an Order Management System to implement tax-efficient asset location and opportunistic rebalancing strategies on behalf of the client. These are primarily 401(k) accounts, HSA's, and other assets we do not custody. We regularly review the available investment options in these accounts, monitor them, and rebalance and implement our strategies in the same way we do other accounts, though using different tools as necessary The exact amount fees charged is determined by the daily average over the course of the quarter.

The current exception for this is directly-managed held-away accounts, which are determined by the account value at the end of the quarter. In either case, if the Adviser only manages your assets for part of a quarter, the charge will be prorated. The advisory fee is a blended fee and is calculated by assessing the percentage rates using the predefined levels of assets and applying the fee to the daily average of the account value or the account value as of the last day of the previous quarter (per the paragraph above), resulting in a combined weighted fee. For example, an account valued at $2,000,000 would pay an effective fee of 1% with the annual fee being $20,000 (a quarterly fee of $5,000). Investment management fees are generally directly debited on a pro rata basis from client accounts. The exception for this is directly-managed held-away accounts, such as 401(k)'s. As it is impossible to directly debit the fees from these accounts, those fees will be assigned to the client's taxable accounts on a pro-rata basis. If the client does not have a taxable account, those fees will be billed directly to the client. Accounts initiated or terminated during a calendar quarter will be charged a 4 pro-rated fee based on the amount of time remaining in the billing period. An account may be terminated with written notice at least 15 calendar days in advance. Since fees are paid in arrears, no rebate will be needed upon termination of the account.
Participant Account Management (Discretionary) We use a third-party platform to facilitate management of held away assets such as defined contribution plan participant accounts, with discretion. The platform allows us to avoid being considered to have custody of Client funds since we do not have direct access to Client log-in credentials to affect trades. We are not affiliated with the platform in any way and receive no compensation from them for using their platform. A link will be provided to the Client allowing them to connect an account(s) to the platform. Once Client account(s) is connected to the platform, Adviser will review the current account allocations. When deemed necessary, Adviser will rebalance the account considering client investment goals and risk tolerance, and any change in allocations will consider current economic and market trends. The goal is to improve account performance over time, minimize loss during difficult markets, and manage internal fees that harm account performance. Client account(s) will be reviewed at least quarterly and allocation changes will be made as deemed necessary.
Assets Under Management As of 1/31/2024, discretionary $110,329,859 and non-discretionary $0.