Carlton Ellis is a registered investment advisor at Chimera Wealth, based in Gold River, CA, with 36 years of industry experience. Carlton operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 48 clients with $17M 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 $1000K | 1.25% |
| $1.0M - $2.5M | 1.10% |
| $2.5M - $5.0M | 0.90% |
| $5.0M - $10.0M | 0.75% |
| $10.0M - $20.0M | 0.60% |
| $20M+ | 0.50% |
For investments in pooled income funds, CW will solely receive an annual fee of 0.25%-0.75% based on the value of the client’s investment in those funds. The value of the client’s investment in the income funds will be included when determining the tiered fee rate (%) to be applied to calculate the client’s fee for Portfolio Management but will not be included in the value of the client’s account when calculating CW’s annual fee for Portfolio Management.
Fee Estimator
Location
Gold River, CA
Get directionsHistory
Regulatory History (3)
Customer Dispute
November 1998Regulatory
March 1998Employment Separation After Allegations
November 1996Other Business Activities
Carlton works as an independent contractor and financial advisor for Chimera Wealth, LLC, focusing on financial planning, investment management, and client relationships. This takes about a quarter of Carlton's time.
Employment History
Current Registrations
Chimera Wealth
Previous Registrations
Nobles & Richards Advisors, LLC
Nobles & Richards, INC.Broker
Landolt Securities, INC.Broker
Newport Coast Securities, INC.Broker
Landolt Securities, INC.Broker
Dimirak Securities CorporationBroker
Ngas Securities, INC.Broker
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Eplanning Advisors INC
Eplanning Securities, INC.Broker
Brookstreet Capital Management
Brookstreet Securities CorporationBroker
Progressive Asset Management, INC.Broker
Prudential Securities IncorporatedBroker
State Registrations1 state
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.