Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Fee Structure
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Assets over US$25 million 0.30% (or less, as negotiated)
Fee Estimator
The SWA fee covers investment advice, brokerage, custody, and administrative expenses, based on a percentage of your account value. The fee includes equity trade commissions and transaction fees on mutual funds and fixed income. The SWA fee does not cover mutual fund fees, short-term redemption fees, fees from other broker-dealers, custody fees on alternative investments, or fees on options trades. There is a quarterly minimum fee equal to the lesser of: (a) $1,000; or (b) the quarterly fee from applying a 1.60% APR to the total billable assets in your enrolled accounts (the “Quarterly Minimum”). Portfolios subject to the Quarterly Minimum will also be subject to a “Quarterly Maximum” APR of 1.60%.
Areas of Practice
Advisor Information
Office location
5796 Armada Drive, Suite 175, Carlsbad, CA, 92008
Get directionsRegulatory History
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 →Other Business Activities
Aaron owns a rental property since 2015, but a property manager handles the day-to-day duties. He spends minimal time on this activity.