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Mark Walter

Ip Financial Advisory Services LLC
37 Years of Experience
Westlake Village, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Mark Walter is a registered investment advisor at Ip Financial Advisory Services LLC, based in Westlake Village, CA, with 37 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, High Net Worth, and 4 more. Their firm serves 2,001 clients with $480M in assets under management.

Ip Financial Advisory Services LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
133 advisors
Number of Clients
2,001 clients
Average Client Portfolio
$241K average
Assets Under Management
$481.4M

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K+2.00%

Maximum annual fee is up to 3% and is negotiable. Alternatively, third-party investment programs range from 2.20% down to 1.40%.

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

Location

2829 Townsgate Rd., Ste. 100, Westlake Village, CA, 91361

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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
November 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark is an agent for accident & health, life, and variable insurance products. This activity is investment-related.

Employment History
Current Registrations
Innovation Partners LLC
June 2025 - Present · 1 yr 4 mos
Innovation Partners LLCBroker
June 2025 - Present · 1 yr 4 mos
Ip Financial Advisory Services LLC
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Western International Securities
October 2013 - June 2025 · 11 yrs 8 mos
Western International Securities, INC.Broker
October 2013 - June 2025 · 11 yrs 8 mos
J.P. Morgan Securities LLCBroker
October 2012 - October 2013 · 1 yr
J.P. Morgan Securities LLC
October 2012 - October 2013 · 1 yr
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.Broker
May 2009 - October 2012 · 3 yrs 5 mos
Wamu Investments, INC.
February 2006 - May 2009 · 3 yrs 3 mos
Wamu Investments, INC.Broker
March 2000 - May 2009 · 9 yrs 2 mos
The Dreyfus Service CorporationBroker
October 1997 - March 2000 · 2 yrs 5 mos
Alliance Advisory & Securities, INC.Broker
February 1997 - October 1997 · 8 mos
Griffin Financial ServicesBroker
September 1995 - January 1997 · 1 yr 4 mos
Metlife Securities INC.Broker
June 1989 - September 1995 · 6 yrs 3 mos
Metropolitan Life Insurance CompanyBroker
June 1989 - September 1995 · 6 yrs 3 mos
State Registrations3 states
AZCACO
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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