EH
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
9 advisors
Number of Clients
170 clients
Average Client Portfolio
$518K average
Assets Under Management
$88.0M
Fee Structure
Minimum Investment:None
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.85% |
| $2M+ | 0.85% |
Annual fee may be negotiable for accounts over $2,000,000.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Hourly Rate:Up to $200/hr
For asset management, fees are based on a percentage of assets under management, and may be negotiable for accounts over $2,000,000. Financial planning and consulting are charged at $200 per hour, and the fees are negotiable. The client will pay the estimated fee at the signing of the agreement. Lower fees for comparable services may be available from other sources.
Areas of Practice
Retirement PlanningTax PlanningInsurance PlanningFinancial Planning & Coaching
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Advisor Information
Office location
Phoenix, AZ
Get directionsRegulatory History (14)
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
July 2020Pending
Financial
July 2018Final
Employment Separation After Allegations
October 2016Employment Separation After Allegations
December 2015Customer Dispute
March 2005Withdrawn
Customer Dispute
December 2002Denied
Customer Dispute
November 2002Settled
Customer Dispute
September 2002Denied
Customer Dispute
June 2002Settled
Customer Dispute
April 2002Settled
Customer Dispute
March 2002Settled
Customer Dispute
August 2001Settled
Customer Dispute
August 2001Settled
Customer Dispute
June 1999Settled
Employment History
Current Registrations
Empirikal Partners LLC
September 2016 - Present · 9 yrs 4 mos
Previous Registrations
United Planners' Financial Services of America a Limited Partner
March 2016 - November 2016 · 8 mos
United Planners' Financial Services of America a Limited Partner Broker
February 2016 - November 2016 · 9 mos
Wells Fargo Advisors, LLC
August 2005 - January 2016 · 10 yrs 5 mos
Wells Fargo Advisors, LLC Broker
February 2002 - January 2016 · 13 yrs 11 mos
Wachovia Securities, INC.
February 2002 - December 2002 · 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
September 1992 - March 2002 · 9 yrs 6 mos
Painewebber Incorporated Broker
March 1992 - August 1992 · 5 mos
State Registrations8 states
AZCAFLGANJNYTXWY
Advisor
Exams
No exam information available for this advisor.