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George Gopiao

Miramontes Capital, LLC
33 Years of Experience
Newport Beach, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

George Gopiao is a registered investment advisor at Miramontes Capital, LLC, based in Newport Beach, CA, with 33 years of industry experience. George 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 5 more. Their firm serves 744 clients with $400M in assets under management.

Miramontes Capital, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10 advisors
Number of Clients
744 clients
Average Client Portfolio
$534K average
Assets Under Management
$396.9M

Fee Structure

Minimum Investment:$75K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum fee is 2.25% per year, billed monthly in arrears. Clients using the Hedging Collar Strategy pay an additional 0.30% on those assets.

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

Location

4701 Teller Ave, Newport Beach, CA, 92660

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History

Regulatory History (3)
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.
Financial
June 2017
Final
Employment Separation After Allegations
October 2016
Customer Dispute
October 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

George is an independent insurance agent since 2018, but spends no time on this activity. He is also a financial advisor with Miramontes Capital, spending about 10-20% of his time soliciting and servicing client accounts.

Employment History
Current Registrations
Miramontes Capital, LLC
January 2024 - Present · 2 yrs 9 mos
Balanced Security Planning, INC.Broker
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
B.B. Graham & Company, INC.
October 2019 - February 2023 · 3 yrs 4 mos
B.B. Graham & Company, INC.Broker
October 2019 - February 2023 · 3 yrs 4 mos
Quest Capital Strategies, INC.Broker
July 2018 - October 2019 · 1 yr 3 mos
Quest Capital Strategies, INC.
July 2018 - October 2019 · 1 yr 3 mos
LPL Financial LLC
October 2009 - November 2016 · 7 yrs 1 mo
LPL Financial LLCBroker
November 2008 - November 2016 · 8 yrs
Wamu Investments, INC.
February 2006 - December 2008 · 2 yrs 10 mos
Wamu Investments, INC.Broker
January 1999 - December 2008 · 9 yrs 11 mos
Griffin Financial ServicesBroker
July 1993 - January 1999 · 5 yrs 6 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1993 - July 1993 · 2 mos
Griffin Financial ServicesBroker
January 1991 - April 1993 · 2 yrs 3 mos
State Registrations22 states
ARAZCACOFLGAIAILINKYMIMNNCNENMNVSDTNTXUTWAWI
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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