Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for Principal Securities' advisory services vary based on the selected TPMM program and the amount invested. Fees are negotiable. In promoter arrangements, clients don't pay Principal Securities directly; the TPMM pays a promoter's fee ranging from 0.07% to 1.5% of assets or up to 50% of the advisory fee. In investment adviser arrangements, Principal Securities charges a separate fee, negotiable but not exceeding the listed schedule for SEI programs. AssetMark programs have fees payable quarterly in advance. An administrative fee of up to 0.12% may be used to cover program administration costs for SEI and AssetMark programs opened on or after April 1, 2020. An optional Tax Management Service (TMS) increases the total client fee by 0.10% with a $100 minimum annual fee.
Areas of Practice
Advisor Information
Office location
575 Anton Blvd Ste 900, Costa Mesa, CA, 92626
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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 ActivitiesSells Insurance
Adam sells life, disability, annuities, health, long-term care, dental, Medicare, and medical insurance through various carriers, dedicating a few hours per week to this activity. He is also the sole member of SHIBA Enterprises LLC, which he will use for non-investment related health insurance sales.