John Browning
John Browning is a registered investment advisor at Guardian Rock Wealth Investment Management, INC., based in Palm Springs, FL, with 33 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 82 clients with $47M 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 $500K | 1.25% |
| $500K - $1.0M | 0.80% |
| $1.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $25.0M | 0.60% |
| $25M+ | 0.40% |
The minimum annual fee for asset management services is $6,250 per account relationship. Fees are negotiable.
Fee Estimator
Location
Palm Springs, FL
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Regulatory History
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.
Learn about disclosures →Other Business Activities
John owns Inclusive Assistance Corp. and Inclusive Assistance Services, both providing home and nursing care. These activities are not investment-related and take about 10-20% of his time.
Employment History
Current Registrations
Guardian Rock Wealth Investment Management, INC.
Previous Registrations
Marc J. Lane & CompanyBroker
Marc J. Lane & CompanyBroker
Hennion & Walsh, INC.Broker
Nuveen Securities, LLCBroker
Incapital Insurance Services, LLCBroker
Incapital LLCBroker
Guggenheim Funds Distributors, INC.Broker
Invesco Advisers, INC.
Invesco Aim Private Asset Management, INC.
Invesco Aim Distributors, INC.Broker
Van Kampen Advisors INC
Van Kampen Funds INC.Broker
State Registrations3 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.