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Gordon Eliot Fallone

36 Years of Experience
3 DisclosuresBroker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)
Firm Size
11 advisors
Number of Clients
318 clients
Average Client Portfolio
$760K average
Assets Under Management
$241.7M

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $2.0M1.75%
$2.0M - $3.0M1.50%
$3.0M - $4.0M1.25%
$4M+1.00%

UIM may negotiate its fee at its sole discretion and under special circumstances. UIM may exclude certain investments from the calculation of assets under management.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

Mill Valley, CA

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History

Regulatory History (3)
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.
Judgment / Lien
March 2023
Customer Dispute
June 2004
Settled
Customer Dispute
June 1999
Denied
Other Business Activities

Gordon is an investment advisor at Uhlmann Investment Management LLC since 2017, splitting time between brokerage and RIA business. He is also a general partner at Transfusion Associates, LLC, and a co-founder and managing partner at OnPoint Analytics Capital Partners, dedicating nearly all of his time to the latter. Finally, Gordon is a board member at Swyft, Inc., spending a few hours per week advising the company.

Employment History
Current Registrations
Uhlmann Investment Management, L.L.C.
November 2017 - Present · 8 yrs 3 mos
Uhlmann Price Securities, LLC
November 2017 - Present · 8 yrs 3 mos
Uhlmann Price Securities, LLCBroker
November 2017 - Present · 8 yrs 3 mos
Previous Registrations
Robertson Stephens SecuritiesBroker
October 2015 - October 2016 · 1 yr
Robertson Stephens Advisors
October 2015 - October 2016 · 1 yr
Roth Capital Partners, LLC
January 2013 - September 2015 · 2 yrs 8 mos
Roth Capital Partners, LLCBroker
January 2013 - September 2015 · 2 yrs 8 mos
Advanced Equities, INC.
January 2011 - November 2012 · 1 yr 10 mos
Advanced Equities, INC.Broker
May 2007 - November 2012 · 5 yrs 6 mos
Legend Merchant Group, INC.Broker
January 2006 - May 2007 · 1 yr 4 mos
Trautman Wasserman & Company, INC.Broker
March 2001 - January 2006 · 4 yrs 10 mos
Sands Brothers & CO., LTD.Broker
March 1995 - April 2001 · 6 yrs 1 mo
Gruntal & CO. IncorporatedBroker
February 1993 - March 1995 · 2 yrs 1 mo
Lehman Brothers INC.Broker
October 1991 - February 1993 · 1 yr 4 mos
Prudential Securities IncorporatedBroker
August 1990 - October 1991 · 1 yr 2 mos
Cowen & CO.Broker
January 1990 - September 1990 · 8 mos
Rodman & Renshaw INC.Broker
September 1988 - January 1990 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1988 - August 1988 · 6 mos
State Registrations21 states
AZCACOCTDCFLGAILINLAMEMNNMNVNYOHPATXUTWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Gordon Eliot Fallone - Financial Advisor | TrueAdvisor