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Carl Gottuso

Innovation Partners LLC
43 Years of Experience
Corona, CA
1 DisclosureBrokerSells Insurance
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Carl Gottuso is a registered investment advisor at Innovation Partners LLC, based in Corona, CA, with 43 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Estate Planning, Insurance Planning, and 2 more. Their firm serves 26 clients with $22M in assets under management.

Innovation Partners LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
181 advisors
Number of Clients
26 clients
Average Client Portfolio
$834K average
Assets Under Management
$21.7M

Fee Structure

Minimum Investment:$25K

Innovation Partners LLC offers managed account programs where clients pay a fee for portfolio management services. The fees are a percentage of the assets managed, with a maximum annual fee of 3%, which is negotiable. The fees are calculated and deducted from the client's account by the custodian, either quarterly or monthly. Clients may also incur transaction and miscellaneous charges.

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Location

Corona, CA

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History

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
October 1993
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carl is involved in the sales of fixed indexed annuities and occasional life insurance policies through CVG Financial Services since 1981. This activity takes about half of Carl's time.

Employment History
Current Registrations
Ip Financial Advisory Services LLC
April 2024 - Present · 2 yrs 6 mos
Innovation Partners LLCBroker
April 2024 - Present · 2 yrs 6 mos
Innovation Partners LLC
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Crown Capital Securities, L.P.
July 2011 - April 2024 · 12 yrs 9 mos
Crown Capital Securities, L.P.Broker
July 2011 - April 2024 · 12 yrs 9 mos
Independent Financial Group, LLC
April 2008 - July 2011 · 3 yrs 3 mos
Independent Financial Group, LLCBroker
March 2008 - July 2011 · 3 yrs 4 mos
Securities America Advisors, INC.
March 2002 - March 2008 · 6 yrs
Securities America, INC.Broker
March 1995 - March 2008 · 13 yrs
Hamilton Investments, INC.Broker
January 1993 - February 1995 · 2 yrs 1 mo
Invest Financial CorporationBroker
June 1991 - January 1993 · 1 yr 7 mos
Pacific Asset Group, INC.Broker
July 1989 - December 1990 · 1 yr 5 mos
Prudential-Bache Securities INC.Broker
October 1984 - February 1989 · 4 yrs 4 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
March 1983 - October 1984 · 1 yr 7 mos
Ids Marketing CorporationBroker
December 1981 - March 1983 · 1 yr 3 mos
State Registrations3 states
CANVOK
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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