PK
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
6 advisors
Number of Clients
1 client
Average Client Portfolio
$13.9M average
Assets Under Management
$13.9M
Fee Structure
Financial Planning:Investment management only
The annual fee for portfolio management services is up to 2% of the market value of assets under management, billed quarterly in advance. The advisory fee is negotiable depending on individual client circumstances. The firm may combine account values of family members. The firm does not charge a separate fee for the selection of other advisors.
Areas of Practice
Investment Management
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Advisor Information
Office location
5075 Westheimer - Suite 1175, Houston, TX, 77056
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Gms Group
July 2010 - Present · 15 yrs 6 mos
Gms Group Broker
March 2007 - Present · 18 yrs 10 mos
Previous Registrations
The Gms Group, LLC
March 2007 - June 2010 · 3 yrs 3 mos
UBS Financial Services INC.
March 2005 - January 2006 · 10 mos
UBS Financial Services INC. Broker
March 2005 - January 2006 · 10 mos
State Registrations18 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.