Peter Cappos
Peter Cappos is a registered investment advisor at Hilltop Securities INC., based in Sherman Oaks, CA, with 32 years of industry experience. Peter is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,407 clients with $2.5B 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 | 3.00% |
| $250K - $500K | 2.50% |
| $500K - $1000K | 2.25% |
| $1.0M - $4.0M | 2.00% |
| $4M+ | 1.85% |
Rates reflect maximum wrap fee schedules across primary advisory programs (such as Compass UMA and Gateway FSP). Fees are negotiable and vary by program.
Fee Estimator
Location
15301 Ventura Blvd, Building B, Suite 410, Sherman Oaks, CA, 91403
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2022Other Business Activities
Peter is a board member for Senior Concerns, a non-profit organization serving senior citizens and their families. He dedicates minimal time to this activity, volunteering and participating in board meetings.
Employment History
Current Registrations
Hilltop Securities INC.
Hilltop Securities INC.Broker
Previous Registrations
M. L. Stern & CO, LLC.
M.L. Stern & CO., LLC.Broker
State Registrations51 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.
Exams
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