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Humberto Moreno

Strategic Financial Concepts, LLC
33 Years of Experience
Round Rock, TX
View SEC Summary
View SEC Summary

Humberto Moreno is a CFA-designated registered investment advisor at Strategic Financial Concepts, LLC, based in Round Rock, TX, with 33 years of industry experience. Humberto operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 3,824 clients with $930M in assets under management.

Strategic Financial Concepts, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
40 advisors
Number of Clients
3,824 clients
Average Client Portfolio
$243K average
Assets Under Management
$927.7M

Fee Structure

Minimum Investment:$250K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.50%
$500K - $1.0M2.00%
$1M+1.50%

Fees are negotiable based on individual client circumstances and the scope of the relationship. LPL sponsored advisory program fees have separate maximums up to 2.50% or 3.00%.

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

Location

2201 Double Creek Drive, Suite 5005, Round Rock, TX, 78664

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Humberto provides investment advisory services through Strategic Financial Concepts LLC and NFA Wealth Management, spending about 10-20% of his time on each. He also has a real estate rental business and works for Transmission Golf, dedicating about 10-20% of his time to each.

Employment History
Current Registrations
Strategic Financial Concepts, LLC
February 2017 - Present · 9 yrs 8 mos
Previous Registrations
Sfg Wealth Management
December 2016 - February 2017 · 2 mos
LPL Financial LLC
April 2013 - April 2017 · 4 yrs
LPL Financial LLCBroker
April 2013 - February 2023 · 9 yrs 10 mos
Foreside Fund Services, LLCBroker
May 2010 - April 2013 · 2 yrs 11 mos
Nexbank Securities INCBroker
February 2009 - April 2010 · 1 yr 2 mos
Invesco Aim Private Asset Management, INC.
June 2002 - June 2008 · 6 yrs
Invesco Aim Distributors, INC.Broker
March 1999 - June 2008 · 9 yrs 3 mos
Fund Management CompanyBroker
July 1995 - November 1998 · 3 yrs 4 mos
A I M Distributors, INC.Broker
January 1992 - May 1995 · 3 yrs 4 mos
State Registrations3 states
CAMDTX
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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