Thomas Vaughan
Thomas Vaughan is a registered investment advisor at Retirement Capital Strategies, INC., based in San Jose, CA, with 36 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning. Their firm serves 275 clients with $300M 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 $250K | 1.75% |
| $250K - $500K | 1.50% |
| $500K - $750K | 1.25% |
| $750K - $1000K | 1.15% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.85% |
| $5.0M - $10.0M | 0.70% |
| $10M+ | 0.55% |
RCS may reduce or waive fees for family and friends, or in other situations deemed appropriate by the CEO. RCS will "Household" accounts to combine assets under management, which could lower the management fee assessed.
Fee Estimator
Location
1190 Saratoga Ave., Suite 140, San Jose, CA, 95129
Get directionsHistory
Regulatory History (1)
Regulatory
June 2016Other Business Activities
Thomas operates Retirement Capital Strategies as a DBA for his LPL business, dedicating full-time hours to it. He also provides investment advisory services through Retirement Capital Strategies, Inc., an independent investment advisor firm, spending full-time hours on this activity as well.
Employment History
Current Registrations
Retirement Capital Strategies, INC.
Previous Registrations
LPL Financial LLCBroker
Retirement Capital Strategies, INC.
LPL Financial Corporation
LPL Financial LLCBroker
First Investors CorporationBroker
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.