Thomas Brough
Thomas Brough is a registered investment advisor at Capital Trust Wealth Management, based in Scottsdale, AZ, with 30 years of industry experience. Thomas 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 79 clients with $76M 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 $250K | 1.50% |
| $250K - $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1M+ | 0.75% |
Fees may be negotiated for private and pooled investment management services.
Fee Estimator
Location
Scottsdale, AZ
Get directionsHistory
Regulatory History (6)
Employment Separation After Allegations
September 2009Regulatory
May 2009Regulatory
December 1998Employment Separation After Allegations
October 1998Employment Separation After Allegations
January 1997Regulatory
March 1995Other Business Activities
Thomas is a managing partner at Hedge Access Group, LLC, where he manages three pooled investment limited partnerships. He spends a few hours per week on business management.
Employment History
Current Registrations
Capital Trust Wealth Management
Previous Registrations
Newport Coast Securities, INC.Broker
Wedbush Morgan Securities INC.
Wedbush Morgan Securities INC.Broker
Brookstreet Capital Management
Brookstreet Securities CorporationBroker
Commonwealth Financial NetworkBroker
Eisner Securities, INC.Broker
American Fronteer Financial CorporationBroker
Barron Chase Securities, INC.Broker
Vtr Capital, INC.Broker
L.C. Wegard & CO., INC.Broker
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.