Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
63 advisors
Number of Clients
3,823 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$7.1B

Fee Structure

Financial Planning:Investment management only

The client will pay an annual advisory fee that includes fees and expenses for investment advisory, custodial, clearing, and other services provided under the program, as well as all brokerage commissions and associated transaction costs. The advisory fee for the Personal Bond Strategy is a fixed, non-tiered rate of 0.70%.

Areas of Practice
Investment Management
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Advisor Information

Office location

San Francisco, CA

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Bny Mellon Securities Corporation
September 2006 - Present · 19 yrs 4 mos
Bny Mellon Securities Corporation
September 2006 - Present · 19 yrs 4 mos
Bny Mellon Securities Corporation Broker
September 2006 - Present · 19 yrs 4 mos
Previous Registrations
Lincoln Financial Distributors, INC.
February 2006 - September 2006 · 7 mos
Lincoln Financial Distributors, INC.Broker
December 2000 - September 2006 · 5 yrs 9 mos
Delaware Distributors, L.P.Broker
November 1998 - December 2000 · 2 yrs 1 mo
Usaffinity Investments, INC.Broker
April 1993 - June 1994 · 1 yr 2 mos
Eaton Vance Distributors, INC.Broker
April 1990 - August 1992 · 2 yrs 4 mos
A. G. Edwards & Sons, INC.Broker
January 1988 - March 1990 · 2 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
January 1986 - January 1988 · 2 yrs
First Interregional Equity CORP.Broker
May 1985 - September 1985 · 4 mos
State Registrations51 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Carolyn Lis - Financial Advisor | AdvisorDiscover