Mark Buckman
Mark Buckman is a registered investment advisor at Family Investment Management L.P., based in Carlsbad, CA, with 36 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 91 clients with $28M 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 $2.0M | 2.50% |
| $2.0M - $3.0M | 2.25% |
| $3.0M - $4.0M | 2.00% |
| $4.0M - $5.0M | 1.75% |
| $5.0M - $6.0M | 1.50% |
| $6M+ | 1.50% |
Fees are negotiable for accounts over $6,000,000.
Fee Estimator
Location
Carlsbad, CA
Get directionsHistory
Regulatory History (7)
Judgment / Lien
September 2024Judgment / Lien
July 2013Judgment / Lien
November 2012Judgment / Lien
September 2012Customer Dispute
April 2001Customer Dispute
August 1999Customer Dispute
April 1994Other Business ActivitiesSells Insurance
Mark is involved with Family Investment Management LP as a non-variable insurance DBA, dedicating minimal time. He also works as a registered investment advisor hybrid for the same firm, spending about 10-20% of his time during trading hours.
Employment History
Current Registrations
Family Investment Management L.P.
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
UBS Financial Services INC.
UBS Financial Services INC.Broker
Dean Witter Reynolds INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential Securities IncorporatedBroker
Lehman Brothers INC.Broker
State Registrations9 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.