DB
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
9 advisors
Number of Clients
1,434 clients
Average Client Portfolio
$174K average
Assets Under Management
$250.1M
Fee Structure
Minimum Investment:$10K
Financial Planning:Included in AUM fee
Fees for asset management services are based on a percentage of assets under management, not exceeding 1.5%, and are negotiable. AE Wealth Management retains 0.40% of assets under management. The firm requires a minimum of $10,000 for asset management services, which can be aggregated across household accounts. Clients may incur charges imposed by third parties, such as mutual fund fees.
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningEducation PlanningReal Estate InvestingHigh Net Worth
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Advisor Information
Office location
2704 Old Rosebud Road, Suite 160, Lexington, KY, 40509
Get directionsRegulatory History (7)
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.
Regulatory
April 2020Final
Customer Dispute
February 2018Pending
Regulatory
February 2017Final
Customer Dispute
April 2015Settled
Customer Dispute
March 2015Settled
Customer Dispute
October 2003Denied
Customer Dispute
October 2002Denied
Other Business Activities
Donald co-owns KMBD, LLC, a rental property, and spends a few hours per week on phone calls related to it. He also owns 50% of R&D Lots, LLC, buying/selling residential lots, dedicating minimal time to this activity.
Employment History
Current Registrations
Fwg Investments, LLC
February 2018 - Present · 7 yrs 11 mos
Previous Registrations
Fwg Investments, LLC
January 2017 - April 2017 · 3 mos
Global Financial Private Capital, LLC
April 2011 - January 2017 · 5 yrs 9 mos
Lincoln Financial Securities Corporation
August 1998 - April 2011 · 12 yrs 8 mos
Lincoln Financial Securities CorporationBroker
May 1998 - April 2011 · 12 yrs 11 mos
Mony Securities CORP.Broker
June 1997 - May 1998 · 11 mos
State Registrations5 states
KYNCOHTXWV
Advisor
Exams
No exam information available for this advisor.