Firm Description
Intentional LLC (“Intentional” or the “Firm”) is a SEC registered investment advisor. Intentional was
founded in January 2022.
The Chief Compliance Officer of Intentional is James E. Roberts. Intentional LLC is owned by The
Roberts Companies, Inc and Rice Financial, LLC. The Roberts Companies, Inc is owned by James
Roberts and Rice Financial, LLC is owned by Dale Rice.
Types of Advisory Services
The Firm offers a large variety of services, including portfolio management, investment analysis and
financial planning for individuals and high net worth individuals. The Firm offers these services to
clients or potential clients (“clients”).
Investment Advisory Services
Intentional specializes in fundamental, technical, and economic analysis to determine what investments
are in favor of Intentional’s investment models. Intentional assesses clients ’current holdings and
ensures alignment with both short- and long-term goals. The Firm performs ongoing reviews of
investment performance and portfolio exposure to market conditions. Accordingly, the Firm is
authorized to perform various functions without further approval from the client, such as the
determination of securities to be purchased or sold without prior permission from the client for each
transaction. Any and all trades are made in the best interest of the client as part of Intentional’s
fiduciary duty. However, risk is inherent to any investing strategy and model. Therefore, Intentional
does not guarantee any results or returns.
Prior to engaging Intentional to provide any investment advisory services, Intentional requires a
written financial service agreement (“FSA”) signed by the client prior to the engagement of any
services. The FSA will outline services to which the client is entitled and fees the client will incur.
Intentional is an asset-based fee investment management firm. The firm does not receive commissions
for purchasing or selling stocks, bonds, mutual funds, real estate investment trusts, or other
commissioned products for clients. The firm is not affiliated with entities that sell financial products or
securities. No commissions in any form are accepted.
Intentional does not act as a custodian of client assets. The client always maintains asset control.
Intentional places trades for clients under a limited power of attorney through qualified
custodian/broker.
Financial Planning Services
Intentional offers financial planning and consultation services to individuals, families, businesses, and
institutions. In general, our Firm’s financial planning services involve structuring a financial plan that
incorporates the client’s present financial circumstances, future financial goals and risk tolerances.
This planning may encapsulate one or more
of the following areas: investment, retirement and
estate planning, charitable gifting, portfolio analysis, business succession planning and institutional
financial management.
These services generally consist of the following, but may include other services as requested by the
client:
• Obtain from the client, their the financial, biographical and personal information necessary to
develop the plan.
• Review the clients’ overall financial situation, including a written report of recommendations
covering cash flow, tax planning, investment planning, estate planning and risk management.
• Assist the client in developing specific, quantifiable financial goals.
• Prepare a written Retirement Planning Report and recommendations.
• Periodically update the analysis and recommendations based on the client’s changing personal
and financial situation.
Pension Consulting Services
Intentional provides support to small businesses offering qualified and non-qualified retirement
plans to employees. Our services are structured to satisfy the client’s plan objectives, such as
maximizing employee contributions and increasing employee satisfaction and retention, among others.
Due Diligence and Monitoring of Alternative Investments
Intentional offers initial and ongoing due diligence on alternative and private investments for clients
who qualify as accredited investors. Intentional will collect and review available information
including any marketing materials, prospectuses, subscription agreements, financial statements, audit
reports, performance reports, and other investment-specific information to evaluate whether the
opportunity is in the best interest of the client. Intentional will attend calls and meetings with
managers and sponsors of alternative and private investments to ensure a thorough understanding of all
aspects of the information and documents received. Intentional also conducts an ongoing review of the
alternative and private investments and analyzes how these investments impact the client’s
traditionally managed portfolio.
Services Tailored to Clients’ Needs
Services are provided based on a client’s specific needs within the scope of the services provided as
discussed above. A review of the information provided by the client regarding the client’s current
financial situation, goals, and risk tolerances will be performed and advice will be provided that is in
line with available information.
Wrap Fee Program versus Portfolio Management Program
Intentional does not offer a Wrap Fee Program.
Assets Under Management
As of December 2023, Adviser has the following assets under management:
Discretionary assets: $ 120,736,647.00
Non-discretionary assets: $ 3,980,571.00