Roy Gutierrez
Roy Gutierrez is a registered investment advisor at Gutierrez Wealth Advisory, LLC, based in Little Rock, AR, with 44 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 135 clients with $280M 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 $1.0M | 1.00% |
| $1.0M - $3.0M | 0.70% |
| $3.0M - $5.0M | 0.60% |
| $5.0M - $10.0M | 0.45% |
| $10M+ | 0.20% |
Some legacy clients may be on a different fee schedule. Assets under management for family members in the same household may be aggregated for determining the overall fee.
Fee Estimator
Location
10801 Executive Center Dr., Ste. 103, Little Rock, AR, 72211
Get directionsHistory
Regulatory History (3)
Customer Dispute
March 2008Customer Dispute
March 2003Customer Dispute
August 2001Other Business ActivitiesSells Insurance
Roy is an agent selling fixed/traditional insurance products since October 2022. This takes minimal time and occurs during trading hours.
Employment History
Current Registrations
Gutierrez Wealth Advisory, LLC
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations2 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.