Firm Information

Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
410 advisors
Number of Clients
22 clients
Average Client Portfolio
$74.9M average
Assets Under Management
$1.6B

Fee Structure

AB is generally compensated based on a percentage of assets under management. Fees are calculated quarterly. Institutional fees may be modified based on factors like account size and client relationship. AB also has performance-based fee arrangements available. The brochure mentions specialized investment strategies with individualized fee arrangements and historical fee schedules with longstanding clients that may differ from those applicable to new client relationships.

Areas of Practice
Investment ManagementRetirement PlanningAlternative InvestmentsReal Estate Investing
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Advisor Information

Office location

601 Union Street, Suite 4650, Seattle, WA, 98101

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Regulatory History (1)
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
June 2011
Settled
Employment History
Current Registrations
Sanford C. Bernstein & Co., LLC Broker
March 2010 - Present · 15 yrs 10 mos
Sanford C. Bernstein & Co., LLC
March 2010 - Present · 15 yrs 10 mos
Alliancebernstein L.P.
March 2010 - Present · 15 yrs 10 mos
Previous Registrations
Lincoln Investment Broker
January 2009 - March 2010 · 1 yr 2 mos
Lincoln Investment Planning, INC
January 2009 - March 2010 · 1 yr 2 mos
Shelgren Financial Group, INC.
March 2005 - July 2009 · 4 yrs 4 mos
Great American Advisors, INC. Broker
February 2005 - December 2008 · 3 yrs 10 mos
Pmg Securities CorporationBroker
October 2004 - February 2005 · 4 mos
State Registrations24 states
AKAZCACOCTDCDEFLHIMAMDMTNCNHNVNYOHORPASCTXVAVTWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Aaron James Marberg - Financial Advisor | AdvisorDiscover