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
9800 Schwab Way, Lone Tree, CO, 80124
Get directionsRegulatory History
No disclosures, customer disputes, or regulatory actions on file.
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