BH

Bradley Lee Haupt

48 Years of Experience

Firm Information

Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
32 advisors
Number of Clients
901 clients
Average Client Portfolio
$685K average
Assets Under Management
$616.9M

Fee Structure

Minimum Investment:None
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K2.00%
$500K - $1.0M1.50%
$1M+1.00%
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Hourly Rate:Up to $350/hr

AIC's fees are negotiable and vary depending on the Affiliate providing services. Asset management fees are based on a percentage of assets under management, either tiered or fixed. Hourly consultation fees can reach up to $350 per hour. Fixed fees may be charged for investment plans and other planning services. The maximum fee for 401(k) plan services is 1% of plan assets annually. Clients may be able to obtain lower fees for similar services from different AIC Affiliates and/or other Registered Investment Advisers. AIC does not impose a minimum account size or minimum fees as a requirement for opening and/or maintaining an account.

Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & Coaching
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Advisor Information

Office location

Pleasanton, CA

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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 1990
Award / Judgment
Other Business Activities

Bradley is a sole proprietor of Allied Tax Planners, offering tax preparation, planning, and audit representation services since 1978. This takes nearly full-time, with a significant portion occurring during securities trading hours.

Employment History
Current Registrations
American Investors CO
July 2006 - Present · 19 yrs 6 mos
American Investors Company Broker
January 2006 - Present · 20 yrs
Previous Registrations
Cls Investment Firm, LLC
September 2004 - June 2007 · 2 yrs 9 mos
Monterey Bay Securities, INC.Broker
December 1994 - September 2005 · 10 yrs 9 mos
Consolidated Financial Services, INC.Broker
December 1981 - June 1994 · 12 yrs 6 mos
Tmi Equities, INC.Broker
April 1976 - July 1981 · 5 yrs 3 mos
State Registrations2 states
AZCA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Bradley Lee Haupt - Financial Advisor | AdvisorDiscover