AS

Alan Dean Schmidgall

40 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
238 advisors
Number of Clients
14,112 clients
Average Client Portfolio
$397K average
Assets Under Management
$5.6B

Fee Structure

Minimum Investment:$5K
Financial Plan Fee:$125 - $25,000
Hourly Rate:$35 - $300/hr

Financial planning fees are negotiated and can be charged as a one-time fixed fee ($125-$25,000), an hourly fee ($35-$300 per hour), or a fixed periodic fee ($50-$25,000 per period). For asset management services, fees range from 0.00% to 2.50% annually, negotiated between you and your representative. The minimum account fee is 0.50%. Advisory accounts direct with American Funds utilizing their F2 share class will have either a tiered fee of 0.50% , 0.60%, 0.80%, or 1.00% dependent upon account balance and is not negotiable or a fixed fee of 0.75% which is not negotiable. Axiom accounts valued under $50,000 are subject to a quarterly small account fee of $20.

Areas of Practice
Retirement PlanningTax PlanningEstate PlanningEducation PlanningInvestment Management
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Advisor Information

Office location

9917 E Bell Road, Suite #110, Scottsdale, AZ, 85260

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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2016
Settled
Customer Dispute
July 2006
Settled
Customer Dispute
January 2003
Settled
Other Business ActivitiesSells Insurance

Alan operates under the DBA Schooner Financial Associates and is an independent representative with various insurance carriers for fixed products only. He also owns 50% of AB Investment Capital LLC, a real estate holding company, dedicating minimal time to this venture.

Employment History
Current Registrations
Geneos Wealth Management, INC.
February 2005 - Present · 20 yrs 11 mos
Geneos Wealth Management, INC. Broker
January 2005 - Present · 21 yrs
Previous Registrations
Schooner Financial Associates
May 1999 - December 2010 · 11 yrs 7 mos
Fortis Investors, INC.Broker
October 1993 - December 1994 · 1 yr 2 mos
Royal Alliance Associates, INC. Broker
August 1993 - December 2004 · 11 yrs 4 mos
First Investors CorporationBroker
July 1985 - August 1993 · 8 yrs 1 mo
State Registrations23 states
AZCAFLHIIAIDILINKSMAMIMNMOMTNHNMNVORSDTXUTVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Alan Dean Schmidgall - Financial Advisor | AdvisorDiscover