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CFP

Neil Waxman

Capital Analysts
42 Years of Experience
Shaker Heights, OH
BrokerSells Insurance
View SEC Summary
View SEC Summary

Neil Waxman is a CFP-designated registered investment advisor at Capital Analysts, based in Shaker Heights, OH, with 42 years of industry experience. Neil is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 15,840 clients with $8.8B in assets under management.

Capital Analysts
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
610 advisors
Number of Clients
15,840 clients
Average Client Portfolio
$554K average
Assets Under Management
$8.8B

Fee Structure

Investment management only (planning not offered)
Minimum Annual Fee:$200
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $500K1.25%
$500K - $1.0M1.25%
$1.0M - $2.0M1.25%
$2M+1.25%

Maximum annual financial advisor fee is established at 1.25%. Additional Capital Analysts administrative fees may apply ranging from 0.08% to 0.15% with a $200 minimum.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1115 Tower East, 20600 Chagrin Boulevard, Shaker Heights, OH, 44122

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History

Regulatory History
Clean regulatory record

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

Neil is an IA rep and owner of Capital Advisors, LTD, LLC, dedicating nearly full-time hours to this role. He is also an insurance agent through Capital Advisors, LLC, spending minimal time on this activity.

Employment History
Current Registrations
Capital Analysts
July 2012 - Present · 14 yrs 3 mos
Lincoln Investment
June 2012 - Present · 14 yrs 4 mos
Lincoln InvestmentBroker
June 2012 - Present · 14 yrs 4 mos
Capital Advisors, LTD., LLC
June 2010 - Present · 16 yrs 4 mos
Previous Registrations
Capital Analysts Incorporated
November 1999 - June 2012 · 12 yrs 7 mos
Capital Analysts, IncorporatedBroker
December 1983 - June 2012 · 28 yrs 6 mos
State Registrations27 states
AZCACOCTFLGAHIIDILINKYMDMINCNHNJNVNYOHPARISCTNTXUTVAWA
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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