RG

Richard Christopher Green

Caitlin John, LLC
21 Years of Experience
View SEC Summary
View SEC Summary

Firm Information

Caitlin John, LLC
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
20 advisors
Number of Clients
733 clients
Average Client Portfolio
$250K average
Assets Under Management
$183.4M

Fee Structure

Minimum Investment:$250K

The firm's fees are based on the Investment Management Agreement. The Caitlin John Wrapped Program fees do not exceed 2.48%, and Non-wrap fees do not exceed 3.00%. Fees may be tiered, tapered, or fixed. IARs can negotiate fees based on complexity and service level. There is a $2.92 monthly technology fee for all Non-wrap fee structures. The firm sets an account minimum of $250,000, which may be waived by the IAR.

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Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth

Advisor Information

Office location

Del Mar, CA

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Regulatory History (2)
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 2018
Settled
Customer Dispute
June 2018
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is the CEO and co-owner of WMA Enterprises, an accounting firm, spending about 10-20% of his time on this activity. He also works as an independent insurance agent for Bastion Wealth Management, dedicating about 35-40% of his time to insurance product sales.

Employment History
Current Registrations
Caitlin John, LLC
May 2024 - Present · 1 yr 8 mos
Previous Registrations
Alpha Global Investments
January 2014 - October 2024 · 10 yrs 9 mos
Alpha Global Investments
November 2012 - December 2013 · 1 yr 1 mo
Amerivest Investment Management, LLC
April 2006 - October 2009 · 3 yrs 6 mos
TD Ameritrade, INC.
March 2005 - October 2009 · 4 yrs 7 mos
Wm Financial Services, INC.
July 2004 - March 2005 · 8 mos
A. G. Edwards & Sons, INC.
March 2001 - July 2004 · 3 yrs 4 mos
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.