Thomas Graffeo
Thomas Graffeo is a CFP-designated registered investment advisor at Dove Investment Research and Management, INC., based in Irvine, CA, with 37 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 173 clients with $110M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Dove Investment Research & Management charges a percentage of the assets they manage for portfolio management services. The maximum annual management fee is 2.00%, but this fee is negotiable based on factors like the amount of assets being managed and the time spent servicing the relationship. This fee does not include brokerage commissions or other related costs. They also offer access to LPL Financial advisory programs with fees ranging up to 2.65%. For participant account management services, they charge a maximum of 1.50% annually, also negotiable.
Location
100 Pacifica, Suite 370, Irvine, CA, 92618
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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
Thomas operates Dove Investment Research and Management, dedicating full-time hours to it. He also owns land and spends minimal time on it, and sells non-variable insurance, dedicating minimal time to it.
Employment History
Current Registrations
Dove Investment Research and Management, INC.
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Applied Financial Planning, INC.
LPL Financial LLC
Ing Investment Management CO.
Ing Funds Distributor, LLCBroker
Alliancebernstein Investments, INC.Broker
MML Distributors, LLCBroker
Dean Witter Reynolds INC.Broker
Touchstone Securities, INC.Broker
Transamerica Financial Resources, INC.Broker
Ba Investment Services, INC.Broker
Gna Securities, INC.Broker
Griffin Financial ServicesBroker
Shearson Lehman Hutton INC.Broker
State Registrations19 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.