Carol Buss is a registered investment advisor at Buss Capital Management, LLC, based in Lake Forest, IL, with 14 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 49 clients with $30M 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 | 1.00% |
| $1.0M - $2.0M | 0.85% |
| $2.0M - $4.0M | 0.75% |
| $4M+ | 0.60% |
These fees are for non-discretionary accounts. Discretionary accounts have a slightly different fee schedule: Up to $500,000: 1.20%, Over $500,000 to $1,000,000: 0.90%, Over $1,000,000 to $1,500,000: 0.70%, Over $1,500,000 to $2,000,000: 0.60%, Over $2,000,000: 0.50%. Covered Call Options Strategy: 2.00%.
Fee Estimator
Location
250 E. Illinois Road, Suite 4, Lake Forest, IL, 60045-1971
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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.
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Carol is a licensed real estate broker in Illinois and receives referral fees for referring real estate business. She spends minimal time on this activity and does not devote any time to it during securities trading hours.
Employment History
Current Registrations
Buss Capital Management, LLC
Previous Registrations
Buss Capital Management, LLC
Morgan Stanley Smith Barney LLC
State Registrations1 state
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