Denis Wheatley is a registered investment advisor at Trek Financial, based in Santa Rosa, CA, with 42 years of industry experience. Denis operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 5,035 clients with $2.5B 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 $250K | 1.50% |
| $250K - $500K | 1.50% |
| $500K - $1.0M | 1.50% |
| $1.0M - $2.5M | 1.25% |
| $2.5M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.85% |
| $10M+ | 0.70% |
Fees may be subject to negotiation depending upon unique circumstances. Fees assessed on different assets in a portfolio may vary, depending on restrictions and complexity of management. In addition to the advisory fee, a platform fee is charged. Third-party managers and sub-advisors will charge an additional fee.
Fee Estimator
Location
4737 Stonehedge Drive, Santa Rosa, CA, 95405
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Denis is an agent at Innovative Retirement & Insurance Services, Inc. since 1974, offering various insurance products including life, disability, health, and annuities, dedicating about a quarter of his time. He also spends minimal time as an IAR at The Retirement Group, LLC.
Employment History
Current Registrations
Trek Financial
Previous Registrations
World Equity Group, INC.Broker
The Retirement Group, LLC
Fsc Securities CorporationBroker
Innovative Retirement Advisors, LLC
Lincoln Financial Securities CorporationBroker
First Priority Investment CorporationBroker
Fahnestock & CO., INC.Broker
Wellington Securities, INC.Broker
Bretcourt Securities CorporationBroker
Princor Financial Services CorporationBroker
Bretcourt Securities CorporationBroker
State Registrations1 state
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.