Carlsbad Wealth Advisory Group is compensated only by fees paid directly by our clients. We receive no commissions, no third-party payments, and have no financial interest in any investment product we employ for our clients.

 

It is common for fee-only RIAs, such as Carlsbad Wealth, to have assets under management (AUM) minimums. To ensure we can provide a first class experience to all of our clients we have an investable asset minimum of $250,000 for all new AUM clients. 

 

Fees for investment management, supervision, and planning (yes, we include planning as part of the AUM fee), are debited from clients’ accounts according to the following schedule:

• 1% annually for the first $500,000; plus
• .75% annually for amounts greater than $500,000 up to $3,000,000; plus
• .50% annually for amounts greater than $3,000,000 up to $10,000,000; plus
• .40% annually for amounts greater than $10,000,000

As part of our $250,000 investable asset minimum for new AUM clients, a minimum quarterly fee of $625 will be assessed at the client household level.

 

Please see our SEC filing, ADV Part II for more information regarding fees. A copy of the ADV Part II is available on request.