Market
Advisor/RIA
Member Level
Basic
Last Activity
6 months or more
General
Location
Carlsbad, CA, US
Profile Type
Buyer
Fee 0% Commission 100%
AUM
$32,000,000.00
Gross Revenue
$180,000.00
# of Accounts
127
Avg Client Age
57
Overview

Nearly 25 years in the business with a clean U4 - no disputes. Over 30 years of market participation via mutual funds and stock investing. Very knowledgeable in all aspects of the markets, individual stocks, bonds, ETFs, mutual funds, annuities, insurance products, etc. Completed the CFP education program but don't have the ___

Recently adopted Right Capital and GoalGami financial planning software programs and have completed several financial planning contracts with satisfied clients. Many of my clients have been with me for over 15 years and loyalty is strong, due to my client-centered personality and my positive optimistic attitude.

In recent years, I've transitioned more of my practice to a fee-based model, from the transactional business model. New business is nearly all fee-based, unless other commission based products are appropriate or client has a preconceived bias for a particular strategy or investment.

I operate from the Pershing platform with a highly rated broker dealer. Unique to our ability, I can offer real estate 1031 exchanges, along with other real estate oriented investments. This ability may create new opportunities for the seller to participate in added revenue generation that is currently unavailable.

I'm open-minded to adopting the sellers business philosophy and ensuring maximum retention in order to create a win/win situation between buyer/seller and clients. I'm also open-minded to staffing and office logistics in order to facilitate success.

Business Mix Info

Blurred Business Mix
Blurred Fund

Clearing Firm / Custodian

Blurred Blurred Blurred

Third Party Money Managers

Blurred Blurred Blurred Blurred Blurred Blurred

Mutual Funds

Blurred Blurred Blurred Blurred

Variable Annuities

Blurred Blurred Blurred Blurred Blurred Blurred

Insurance Business

Blurred Blurred

Technology Solutions

Blurred Blurred

CRM Systems

Blurred Blurred Blurred Blurred

Loading...