Adam Nieto is a registered investment advisor at LPL Financial LLC, based in Fremont, CA, with 31 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
39199 Paseo Padre Parkway, Ste A, Fremont, CA, 94538
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2024Other Business Activities
Adam operates DCN Wealth Management, LLC as a DBA for his LPL business since 2017. This activity takes more than full-time, with 130 hours spent during trading.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Fiserv Investor Services, INC.Broker
Wellington Securities, INC.Broker
First Investors CorporationBroker
State Registrations23 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.
Exams
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