A. Description of the Advisory Firm
Resolute Wealth Strategies, LLC (“RWS” or the “Firm”) is a limited liability company organized in the
State of Mississippi. RWS is an investment advisory firm registered with the United States Securities and
Exchange Commission (“SEC”). RWS is owned by Phillip Burnett Jr., Charles Warwick Alley and Michael
Puckett.
B. Types of Advisory Services
RWS provides personalized financial planning and discretionary and non-discretionary investment advisory
services to individuals, including high net worth individuals, and entities, including, but not limited to,
family offices, trusts, estates, private foundations, and qualified retirement plans.
Financial Planning and Consulting Services
RWS offers personal comprehensive financial planning services to set forth goals, objectives and
implementation strategies for the client over the long-term. Depending upon individual client requirements,
the comprehensive financial plan will include recommendations for retirement planning, educational
planning, estate planning, cash flow planning, tax planning and insurance needs and analysis. RWS prepares
and provides the financial planning client with a written comprehensive financial plan and performs
quarterly, semi-annual or annual reviews of the plan with the client, dependent on the client’s needs in
accordance with the financial planning agreement. Clients should notify us promptly anytime there is a
change in their financial situation, goals, objectives, or needs and/or if there is any change to the financial
information initially provided to us.
Clients are under no obligation to implement any of the recommendations provided in their written financial
plan. However, should a client decide to proceed with the implementation of the investment
recommendations then the client can either have RWS implement those recommendations or utilize the
services of any investment adviser or broker-dealer of their choice.
RWS cannot provide any guarantees or promises that a client’s financial goals and objectives will be met.
Investment Management Services
RWS offers investment management services on a discretionary basis and non-discretionary basis. All
investment advice provided is customized to each client’s investment objectives and financial needs. The
information provided by the client, together with any other information relating to the client’s overall
financial circumstances, will be used by RWS to determine the appropriate portfolio asset allocation and
investment strategy for the client. Financial planning services may also are
provided, depending on the
needs of the client.
The securities utilized by RWS for investment in client accounts mainly consist of equity securities and
exchange traded funds (ETFs), but we will also invest in mutual funds, corporate bonds, REITS, variable
annuities, private funds/alternative investments and structured products, among others, if we determine
such investments fit within a client’s objectives and are in the best interest of our clients.
Investment Management Services to Retirement Plans
RWS offers discretionary and non-discretionary advisory services to qualified plans, including 401k plans.
These services include, depending upon the needs of the plan client, recommending, or for discretionary
clients selecting, investment options for plans to offer to participants, ongoing monitoring of a plan’s
investment options, assisting plan fiduciaries in creating and/or updating the plan’s written investment
policy statements, working with plan service providers, and providing general investment education to plan
participants.
Note for IRA and Retirement Plan Clients: When RWS provides investment advice to you regarding
your retirement plan account or individual retirement account, RWS is a fiduciary within the meaning of
Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable,
which are laws governing retirement accounts. The way RWS makes money creates some conflicts with
your interests, so RWS operates under a special rule that requires RWS to act in your best interest and not
put RWS’ interest ahead of yours.
C. Client-Tailored Advisory Services
Clients may impose reasonable restrictions on the management of their accounts if RWS determines, in its
sole discretion, that the conditions would not materially impact the performance of a management strategy
or prove overly burdensome for RWS’s management efforts.
D. Information Received From Clients
RWS will not assume any responsibility for the accuracy or the information provided by clients. RWS is
not obligated to verify any information received from a client or other professionals (e.g., attorney,
accountant) designated by a client, and RWS is expressly authorized by the client to rely on such
information provided. Under all circumstances, clients are responsible for promptly notifying RWS in
writing of any material changes to the client’s financial situation, investment objectives, time horizon, or
risk tolerance.
E. Assets Under Management
As of December 31, 2023, RWS maintains discretionary assets under management of $259,163,720.