Richard Atha
Richard Atha is a registered investment advisor at Waterrock Wealth Management, based in Lincoln, CA, with 11 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 275 clients with $130M 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 $50K | 1.40% |
| $50K - $100K | 1.40% |
| $100K - $500K | 1.40% |
| $500K - $750K | 1.25% |
| $750K - $1000K | 1.00% |
| $1.0M - $5.0M | 0.75% |
| $5M+ | 0.50% |
Prien Asset Management may specifically direct clients to Orion Portfolio Solutions, LLC. The annual fee schedule is as follows: $0.00 $50,000.00 Prien Asset Management’s Fee 1.4% OPS’ Fee 0.45% $50,000.01 $100,000.00 1.4% 0.30% $100,000.01 $500,000.00 1.4% 0.20% $500,000.01 $$749,999 1.25% 0.15% $750,000 - $999,999 1.0% 0.15% $1,000,000.00 - $5,000,000.00 0.75% 0.10% Over $5,000,000.00 0.50% 0.08%. For clients who utilize Pontera, the fee schedule above will apply. Please note that .25% of the management fee will be paid to Pontera by Prien Asset Management.
Fee Estimator
Location
Lincoln, CA
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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 ActivitiesSells Insurance
Richard is a licensed independent insurance agent selling fixed insurance products and works as an agent for Atha Consulting, also offering mortgage loans. He dedicates about 10-20% of his time to these activities, including teaching debt management techniques and insurance sales.
Employment History
Current Registrations
Waterrock Wealth Management
Previous Registrations
Center Street Advisors, INC.
Onpointe Advisory and Financial Services, LLC
Metlife Securities INC.
Transamerica Financial Advisors, INC.
State Registrations2 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.