Alan Niemann
Alan Niemann is a ChFC-designated registered investment advisor at Cambridge Investment Research Advisors, INC., based in Westerville, OH, with 42 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.
Fee Estimator
Location
100 Dorchester Square Suite 102, Westerville, OH, 43081
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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
Alan is involved in several business activities, including horse and cattle breeding, real estate, and insurance. He dedicates a significant amount of time to Adaptation Financial as an independent insurance agent and IAR, and also owns a share of Diversified Insurance Brokerage Associates, LLC.
Employment History
Current Registrations
Adaptation Financial Advisors INC.
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
Royal Alliance Associates, INC.Broker
Royal Alliance Associates, INC.
Signator Investors, INC.
Signator Investors, INC.Broker
Mony Securities CorporationBroker
State Registrations27 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.
Exams
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