Description of Advisory Firm Impact Investors, Inc. (“We,” “Us” “Our” or the “Firm”) is a registered investment advisor firm registered with the Securities and Exchange Commission (“SEC”). We operate as a privately held S-Corp that is entirely owned by its employees.
Types of Advisory Services We offer numerous wealth management advisory services, with an overall emphasis on providing socially and environmentally responsible investors with financial solutions that meet their objectives in a prudent and authentic manner in line with our fiduciary duty of care. We categorize these services as follows: INDIVIDUALS & FAMILIES: During an initial meeting, we talk about what is important to you and which of these financial solutions best fit your situation.
CORE INVESTMENT MANAGEMENT Our team of investment management professionals and concierge support staff tailor the optimal investment strategy solution to meet your objectives, incorporating your portfolio income, impact, and financial risk and return expectations.
PLUS FINANCIAL PLANNING For those with financial planning needs, we provide a dedicated CFP® licensed professional and utilize industry-leading software to deliver objective and comprehensive, lifetime financial projections and scenario modeling.
TOTAL WEALTH MANAGEMENT For more in-depth tax analysis and integrated estate planning services, we work closely with your legal and tax experts to tailor solutions with seamless continuity.
SELECT FAMILY OFFICE For families and organizations with complex wealth management needs we recruit outside experts as needed, to provide a concierge-level, suite of family office services.
EMPLOYERS & OWNERS: For employers we offer company retirement plan services as well as owner succession consulting. During an initial discussion we will explore your needs and get clear about which of the following services make the most sense.
GROUP PLAN TRUSTEE CONSULT For employers who wish to offer a group retirement plan that is aligned with your organization’s values, we guide you through the various options, costs, and benefits to help you determine the best setup for you.
GROUP PLAN INVESTMENT ADVISOR We set up, design, maintain, and advise on group retirement plans, from paperwork to employee education, ensuring an easy setup and regular ongoing oversight, so you can focus on running your business.
We may offer a focused financial planning session to employees at no additional cost beyond the retirement plan fee already being paid. The availability of this financial planning session depends on the total number of employees and the total plan assets.
OWNER SUCCESSION PLANNING For business owners who are planning for their own succession, we offer an array of consultative wealth management services to help make the transition a financial success.
FOUNDATIONS & ENDOWMENTS: Working with Foundations & Endowments requires gaining the majority consensus, which can often be complicated. After an initial conversation with at least one board member we can provide a specific proposal for services needed.
BOARD TRUSTEE CONSULT For board members who wish to know how to better align your organization’s investments with its mission, we offer our expertise to help you make clear decisions.
INVESTMENT ACCOUNT ADVISOR For organizations looking for a firm to manage part or all your portfolio, we provide investment solutions to match your financial and mission-driven goals.
IMPACT INVESTMENT PARTNER We partner with board members to engage both your networks and the broader impact investment community around your organization’s mission and vision.
ESG Investment Advisory Management Our firm’s Assets Under Management

as of December 31, 2022 are $239,153,493. Of these assets, $210,319,718 is discretionary and $28,833,775 is non-discretionary.
Private Fund Advisory Services Under an Investment Advisory Agreement between the High Impact Fund I, LP Fund (the “Partnership” or “Fund” and Impact Investors, LLC (the “Investment Manager”), Impact Investors was appointed Investment Manager to act as an investment advisor to the High Impact Fund I in 2020.
An investment in the Fund is generally limited to “qualified client” as defined in Rule 501(a) of Regulation D and “qualified clients” as defined in Rule 205-3 of the Investment Advisers Act of 1940. There can be no assurance that the Fund will be able to achieve its investment objectives. Investment Manager is responsible for the management, operation, and control of the investment and trading activities of the Fund. Please see the Confidential Private Offering Memorandum of the fund for a list of investments in the Fund.
Bespoke Client Services Agreement Impact Investors recommends Bespoke, a personalized investment platform, catered to clients’ investment objectives. Recommendations through the platform are available specifically for accredited investors. Impact Investors will conduct thorough due diligence on the investments and will monitor the portfolio on a quarterly basis. Clients will receive reports documenting the progress of the investments held in the client’s name.
Pontera We use Pontera, 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.
Wrap Fee Programs We do not sponsor or participate in a wrap fee program.
IRA Rollover Recommendations When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries 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 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. Under this special rule’s provisions, we 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.
CCR Section 260.235.2 Disclosure For clients who receive our Financial Planning services, we must state when a conflict exists between the interests of our firm and the interests of our client. The client is under no obligation to act upon our recommendation and there is no obligation to affect the transaction(s) through our firm.