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Brian Sly is a registered investment advisor at Brian Sly and Company, based in Meadow Vista, CA, with 27 years of industry experience. Brian operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 8 clients with $2M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
8 clients
Average Client Portfolio
$247K average
Assets Under Management
$2.0M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 2.00% |
| $500K - $1.0M | 1.50% |
| $1.0M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.75% |
| $10M+ | 0.50% |
Fees are negotiable. There is no minimum account size other than requirements established by SEI Trust.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Meadow Vista, CA
Get directionsHistory
Regulatory History (3)
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Regulatory
May 1996Final
Customer Dispute
October 1995Settled
Employment Separation After Allegations
June 1994Employment History
Current Registrations
Brian Sly and Company
July 2010 - Present · 15 yrs 10 mos
Previous Registrations
Transglobal Investments INC.Broker
June 1994 - October 1995 · 1 yr 4 mos
Prudential Securities IncorporatedBroker
July 1990 - June 1994 · 3 yrs 11 mos
Shearson Lehman Hutton INC.Broker
July 1988 - July 1990 · 2 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1983 - July 1988 · 4 yrs 8 mos
State Registrations1 state
CA
Advisor
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.