Gerald Shaw is a CFP-designated registered investment advisor at Forefront, based in Austin, TX, with 41 years of industry experience. Gerald operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Divorce Planning, Education Planning, Estate Planning, and 5 more. Their firm serves 572 clients with $240M 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 $750K | 1.75% |
| $750K - $1.5M | 1.60% |
| $1.5M - $3.0M | 1.45% |
| $3M+ | 1.30% |
The annual fees are negotiable, prorated, and paid in advance on a monthly basis. Fees for third party asset managers are included in the above fee schedule. Total fees charged by both parties will not exceed 3% of assets under management per year.
Fee Estimator
Location
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX, 78735
Get directionsHistory
Regulatory History (4)
Employment Separation After Allegations
May 2020Financial
August 2019Financial
August 2019Customer Dispute
May 2011Other Business ActivitiesSells Insurance
Gerald owns Summit Advisors, LLC, providing financial and tax planning, life insurance, and fixed-rate annuity sales, dedicating about 10-20% of his time. He also owns Seminole Tax Pros, LLC, for tax preparation and consulting, spending a few hours per week, and is a registered representative of Calton & Associates.
Employment History
Current Registrations
Forefront
Calton & Associates, INC.Broker
Previous Registrations
Stark Financial Advisers, INC.
R.M. Stark & CO., INC.Broker
Mutual Trust Asset Mgmt., INC.
Mutual Trust CO. of America SecuritiesBroker
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Sigma Financial CorporationBroker
Spc
Asset & Financial Planning, LTD
Prime Capital Services, INC.Broker
Spc
Sigma Financial CorporationBroker
Sun Investment Services CompanyBroker
Pruco Securities CorporationBroker
State Registrations7 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.