Roy Neal
Roy Neal is a registered investment advisor at Guardian Rock Wealth Investment Management, INC., based in Lisle, IL, with 40 years of industry experience. Roy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 82 clients with $47M 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 $500K | 1.25% |
| $500K - $1.0M | 0.80% |
| $1.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $25.0M | 0.60% |
| $25M+ | 0.40% |
The minimum annual fee for asset management services is $6,250 per account relationship. Fees are negotiable.
Fee Estimator
Location
3333 Warrenville Road, Suite 200, Lisle, IL, 60532
Get directionsHistory
Regulatory History (5)
Customer Dispute
August 2009Customer Dispute
February 2006Customer Dispute
September 2004Employment Separation After Allegations
October 1988Regulatory
March 1988Other Business ActivitiesSells Insurance
Roy holds insurance licensing as an independent insurance agent. This investment-related activity takes minimal time.
Employment History
Current Registrations
Guardian Rock Wealth Investment Management, INC.
Previous Registrations
Thurston Springer Advisors
Thurston Springer FinancialBroker
Thurston Springer Financial
Private Client Services, LLCBroker
Private Client Services, LLC
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.
1717 Capital Management Company
1717 Capital Management CompanyBroker
Mony Securities CORP.Broker
State Registrations2 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.