Ashwini Ahluwalia
Ashwini Ahluwalia is a CFP-designated registered investment advisor at Prosperity Capital Advisors, based in Westlake, OH, with 35 years of industry experience. Ashwini operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 7,096 clients with $3.7B 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 $500K | 0.60% |
| $500K - $1000K | 0.50% |
| $1.0M - $2.0M | 0.40% |
| $2.0M - $5.0M | 0.35% |
| $5M+ | 0.30% |
The platform fee tier schedule is based on billable assets and excludes non-billable assets such as unmanaged accounts. The total annual fee for investment management services for retail clients typically varies between 0.20% and 2.0% depending upon several factors, including the market value of the assets under management and the types of services to be rendered. PCA charges a $150.00 minimum annual investment management fee which may result in a fee greater than 2.0%.
Fee Estimator
Location
30400 Detroit Road, Suite 201, Westlake, OH, 44145
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2010Customer Dispute
November 2008Other Business ActivitiesSells Insurance
Ashwini is involved in several business activities, including fixed annuity sales, marketing insurance and financial planning services, Medicare Supplement Health Insurance sales, social security planning, and working as a financial advisor. She also sells securities through M Holding Securities, Inc. and receives commissions, spending a few hours per week on this activity.
Employment History
Current Registrations
Prosperity Capital Advisors
M Holdings Securities, INC.Broker
Previous Registrations
M Holdings Securities, INC.
M Holdings Securities, INC.Broker
M Holdings Securities, INC.
Metlife Securities INC.
Metlife Securities INC.Broker
Hornor, Townsend & Kent, INC.
Hornor, Townsend & Kent, INC.Broker
Ameritas Investment CORP
Ameritas Investment CORP.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
1717 Capital Management CompanyBroker
MML Investors Services, INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Sre Investor Services, INC.Broker
State Registrations12 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.