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Charles Triaga

Independent Financial Partners
38 Years of Experience
Williamsville, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Charles Triaga is a registered investment advisor at Independent Financial Partners, based in Williamsville, NY, with 38 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Real Estate Investing. Their firm serves 54,154 clients with $16B in assets under management.

Independent Financial Partners
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
317 advisors
Number of Clients
54,154 clients
Average Client Portfolio
$301K average
Assets Under Management
$16.3B

Fee Structure

Minimum Investment:$20M
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $30.0M1.65%
$30.0M - $60.0M1.25%
$60.0M - $90.0M1.10%
$90M+1.00%

Fees apply to the entire average daily assets under advisement when a threshold is met, rather than on a marginal basis.

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

Location

5732 Main St. Ste. 2, Williamsville, NY, 14224

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History

Regulatory History (1)
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
June 2016
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Charles owns REVC, LLC DBA Harbor Wealth Advisors, where he provides financial planning, investing, and insurance sales and service, dedicating full-time hours to this. He is also an insurance agent with Specific Solutions Inc, focusing on insurance planning, spending a few hours per week on this activity.

Employment History
Current Registrations
Independent Financial Partners
June 2021 - Present · 5 yrs 4 mos
Ifp Securities, LLCBroker
November 2019 - Present · 6 yrs 11 mos
Previous Registrations
Key Investment Services LLC
January 2006 - December 2006 · 11 mos
Key Investment Services LLCBroker
January 2006 - November 2019 · 13 yrs 10 mos
Mcdonald Investments INC.Broker
May 1999 - December 2005 · 6 yrs 7 mos
Mcdonald Investments INC.
May 1999 - December 2005 · 6 yrs 7 mos
Key Investments INC.Broker
January 1993 - May 1999 · 6 yrs 4 mos
Independent Financial Securities, INC.Broker
August 1992 - December 1992 · 4 mos
Invest Financial CorporationBroker
July 1992 - August 1992 · 1 mo
Abi Securities, INC.Broker
January 1992 - July 1992 · 6 mos
Mony Securities CORP.Broker
February 1988 - December 1991 · 3 yrs 10 mos
The Mutual Life Insurance Company of New YorkBroker
February 1988 - October 1990 · 2 yrs 8 mos
State Registrations11 states
ALFLGAMAMDNCNVNYOHSCVA
AdvisorBrokerBoth

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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