CFP

John Klevens

34 Years of Experience

Scottsdale, AZ

1 Disclosure

John Klevens is a CFP-designated registered investment advisor at Sequel Capital Management, LLC, based in Scottsdale, AZ, with 34 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management, Retirement Planning.

Sequel Capital Management, LLC

Compensation

Fee-Only (% of Portfolio)

Firm Size

1 advisor

Number of Clients

Not specified

Average Client Portfolio

Not specified

Fee Structure

Minimum Investment:None

Planning is included in investment management

Portfolio-Based Fees (Tiered)

Portfolio Value	Annual Fee
Up to $500K	1.00%
$500K - $1.0M	0.90%
$1.0M - $5.0M	0.80%
$5M+	0.60%

Fees are negotiable at the sole discretion of Sequel Capital Management.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

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Location

Scottsdale, AZ

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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

February 2019

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Sequel Capital Management, LLC

August 2026 - Present · 2 mos

Previous Registrations

Mariner Wealth

October 2023 - August 2025 · 1 yr 10 mos

Pfg Advisors

March 2021 - September 2023 · 2 yrs 6 mos

Arbor Point Advisors

November 2020 - August 2023 · 2 yrs 9 mos

Securities America Advisors, INC.

November 2020 - August 2023 · 2 yrs 9 mos

Securities America, INC.Broker

November 2020 - August 2023 · 2 yrs 9 mos

Kms Financial Services, INC

March 2001 - November 2020 · 19 yrs 8 mos

Kms Financial Services, INC.Broker

March 1998 - November 2020 · 22 yrs 8 mos

Wm Financial Services, INC.Broker

February 1991 - March 1998 · 7 yrs 1 mo

State Registrations1 state

Advisor

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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