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Michael Mullins

Oakwood Capital, INC.
39 Years of Experience
Bermuda Dunes, CA
5 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Michael Mullins is a registered investment advisor at Oakwood Capital, INC., based in Bermuda Dunes, CA, with 39 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 616 clients with $300M in assets under management.

Oakwood Capital, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
22 advisors
Number of Clients
616 clients
Average Client Portfolio
$494K average
Assets Under Management
$304.2M

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.00%
$100K - $250K1.90%
$250K - $500K1.80%
$500K - $1.0M1.60%
$1.0M - $2.0M1.40%
$2.0M - $3.0M1.20%
$3.0M - $5.0M1.00%
$5M+0.80%

Fees can be negotiable or assessed at a flat rate at the Advisor's discretion based on account size and prospective growth. Discretionary Oakwood portfolio management options feature separate lower tier rates ranging from 0.10% to 0.15%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Bermuda Dunes, CA

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2011
Denied
Customer Dispute
June 2008
Settled
Customer Dispute
April 2008
Settled
Customer Dispute
December 2004
Settled
Customer Dispute
March 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Michael is an Investment Adviser Representative and provides financial planning services through Oakwood Capital, Inc. and Oakwood Capital Advisors, LLC, dedicating about 10-20% of his time to each. He also offers fixed insurance and annuities through Oakwood Capital Insurance Solutions, LLC, spending a few hours per week, and volunteers for Laundry Love.

Employment History
Current Registrations
Oakwood Capital, INC.
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Gardner Advisors INC.
September 2019 - December 2020 · 1 yr 3 mos
Oakwood Capital Securities, INC.Broker
September 2019 - December 2023 · 4 yrs 3 mos
The Oak Ridge Financial Services Group, INC.Broker
June 2015 - September 2019 · 4 yrs 3 mos
The Oak Ridge Financial Services Group, INC
June 2015 - September 2019 · 4 yrs 3 mos
Jhs Capital Advisors, LLC
April 2011 - July 2015 · 4 yrs 3 mos
Jhs Capital Advisors, LLCBroker
April 2011 - July 2015 · 4 yrs 3 mos
RBC Capital Markets, LLCBroker
June 2008 - April 2011 · 2 yrs 10 mos
RBC Capital Markets, LLC
June 2008 - April 2011 · 2 yrs 10 mos
Wells Fargo Investments, LLC
September 2004 - June 2008 · 3 yrs 9 mos
Wells Fargo Investments, LLCBroker
July 2004 - June 2008 · 3 yrs 11 mos
Morgan Stanley Dw INC.Broker
September 2000 - July 2004 · 3 yrs 10 mos
Painewebber IncorporatedBroker
January 1994 - October 2000 · 6 yrs 9 mos
Dain Bosworth IncorporatedBroker
March 1987 - January 1994 · 6 yrs 10 mos
State Registrations5 states
AZCAMNSCTX
Advisor

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
No exam information available for this advisor.
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