Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The maximum annual fee for Comprehensive Portfolio Management is 1.75%, negotiable based on assets managed and engagement complexity. Fees are billed quarterly in advance. LPL Sponsored Advisory Programs have maximum fees up to 1.80%, or 1.35% for Guided Wealth Portfolios. Financial planning and consulting are charged hourly (up to $350/hour) or flat fee (up to $5,000). Retirement Plan Consulting is billed hourly, flat fee, or percentage of plan assets. Clients may incur transaction fees or fund expenses charged by custodians or funds.
Areas of Practice
Advisor Information
Office location
1640 East Cypress, Suite A, Redding, CA, 96002
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
Nicholas provides investment advisory services through Rubicon Advisors, spending nearly full-time on this activity. He also has a business entity for tax/investment purposes and a DBA for his LPL business, dedicating minimal time and about 10-20% of his time respectively.