Carlos Alvarado
Carlos Alvarado is a registered investment advisor at Herbert J. Sims Capital Management, INC., based in Orlando, FL, with 41 years of industry experience. Carlos is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Estate Planning, High Net Worth, Insurance Planning, and 2 more. Their firm serves 350 clients with $440M 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 | 2.50% |
| $500K - $1.0M | 2.00% |
| $1.0M - $2.5M | 1.75% |
| $2.5M - $5.0M | 1.50% |
| $5M+ | 1.25% |
Fees are generally subject to negotiation and typically range from 1.25% to 2.50% per year.
Fee Estimator
Location
Orlando, FL
Get directionsHistory
Regulatory History (30)
Customer Dispute
November 2020Customer Dispute
August 2019Customer Dispute
June 2019Customer Dispute
May 2019Customer Dispute
April 2019Customer Dispute
April 2019Customer Dispute
April 2019Customer Dispute
March 2019Customer Dispute
October 2018Customer Dispute
September 2018Customer Dispute
August 2018Customer Dispute
August 2018Customer Dispute
July 2018Customer Dispute
July 2018Customer Dispute
May 2018Customer Dispute
February 2018Customer Dispute
January 2018Customer Dispute
December 2017Customer Dispute
August 2017Customer Dispute
May 2017Customer Dispute
November 2016Customer Dispute
June 2016Customer Dispute
April 2016Customer Dispute
April 2016Customer Dispute
November 2015Customer Dispute
May 2015Customer Dispute
November 2014Customer Dispute
May 2014Customer Dispute
December 2013Customer Dispute
May 2013Other Business ActivitiesSells Insurance
Carlos is an investment adviser representative of HJ Sims Capital Management, dedicating about 20% of his time to this role. He also spends about 10% of his time on insurance activities, while his primary business involves providing brokerage services.
Employment History
Current Registrations
Herbert J. Sims Capital Management, INC.
Herbert J. Sims & CO, INC.
Herbert J. Sims & CO, INC.Broker
Previous Registrations
Santander Securities
Santander Securities LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations6 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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