Carl Thompson
Carl Thompson is a registered investment advisor at Independent Advisor Alliance, LLC, based in Houston, TX, with 41 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 45,002 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Maximum annual advisory fee is 2.00%. Fees are negotiable and may vary based on account size, complexity, and services included.
Fee Estimator
Location
1120 Nasa Parkway, Suite 210, Houston, TX, 77058
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2002Criminal
March 1978Other Business Activities
Carl is involved with Thompson Wealth Management, LLC as a DBA for LPL business since 2011. He also provides investment advisory services through Independent Advisor Alliance, dedicating full-time hours to this activity.
Employment History
Current Registrations
Independent Advisor Alliance, LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Independent Financial Partners
LPL Financial LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.
Exams
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