Scott Kaup
Scott Kaup is a CFP-designated registered investment advisor at Prosperity Capital Advisors, based in Stuart, NE, with 44 years of industry experience. Scott operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 7,096 clients with $3.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 0.60% |
| $500K - $1000K | 0.50% |
| $1.0M - $2.0M | 0.40% |
| $2.0M - $5.0M | 0.35% |
| $5M+ | 0.30% |
The platform fee tier schedule is based on billable assets and excludes non-billable assets such as unmanaged accounts. The total annual fee for investment management services for retail clients typically varies between 0.20% and 2.0% depending upon several factors, including the market value of the assets under management and the types of services to be rendered. PCA charges a $150.00 minimum annual investment management fee which may result in a fee greater than 2.0%.
Fee Estimator
Location
113 N. Main St. P.O. Box 265, Stuart, NE, 68780
Get directionsHistory
Regulatory History (5)
Customer Dispute
January 2021Customer Dispute
November 2020Customer Dispute
February 2019Customer Dispute
July 2018Customer Dispute
April 2016Other Business ActivitiesSells Insurance
Scott operates under the DBA Kaup's Financial Advisors, Inc. for both insurance sales and advisory business, and owns Kaup's Insurance and Investments, Inc., a management and holding company. Scott also engages in tax preparation/accounting, serves as treasurer for two government entities, and sells various insurance products, dedicating a few hours per week to insurance sales and nearly full-time to the advisory business.
Employment History
Current Registrations
Prosperity Capital Advisors
Previous Registrations
Cetera Investment Advisers LLC
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Vsr Advisory Services
The Masters, INC.
Vsr Financial Services, INC.Broker
Vsr Financial Services, INC.Broker
American General Securities IncorporatedBroker
Vsr Financial Services, INC.Broker
Wzw Financial Services, INC.Broker
St. Paul Investors, INC.Broker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.