Michael Caulfield
Michael Caulfield is a registered investment advisor at Advice and Planning Services, based in Frisco, TX, with 21 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 72,807 clients with $34B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
TC Services offers several managed account programs with different fee structures:
- TIAA Personal Portfolio (TPP): 0.30% annually of the assets managed. This program is closed to new investors.
- TIAA Portfolio Advisor (PA): Fees range from 1.15% to 0.40% annually based on a tiered schedule.
- Private Asset Management (PAM): Fees range from 0.90% to 0.40% annually for a blended portfolio, or 0.50% to 0.15% annually for a fixed income portfolio, based on a tiered schedule. Transaction costs are additional for PAM.
TC Services may negotiate fee arrangements based on various factors. The fees for TPP and PA are inclusive of most transaction costs, while PAM has separate transaction costs.
Location
3965 Dallas Parkway, Frisco Hub, Frisco, TX, 75034
Get directionsHistory
Regulatory History (1)
Criminal
December 2018Other Business Activities
Michael is the owner of MJC Publishing since 2012, working as an author, videographer, and music composer. This takes about a quarter of his time during non-trading hours.
Employment History
Current Registrations
Advice and Planning Services
Tiaa-Cref Individual & Institutional Services, LLC
Tiaa-Cref Individual & Institutional Services, LLCBroker
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
First Command Advisory Services
First Command Brokerage Services, INC.Broker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.
TD Ameritrade, INC.Broker
Clark Securities, INC.Broker
Clark Investment Strategies, INC.
1st Global Capital CORP.Broker
LPL Financial Corporation
LPL Financial CorporationBroker
American Century Investment Services INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations49 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.