Walter Au is a registered investment advisor at Dixon Financial Services, based in Lafayette, CA, with 30 years of industry experience. Walter operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 335 clients with $1.1B 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 | 1.00% |
| $500K - $1.0M | 0.75% |
| $1.0M - $2.0M | 0.55% |
| $2M+ | 0.40% |
Accounts managed by DFS but serviced by another independent registered investment adviser or an asset management company may be .1% to .5% higher than the fee schedule above, depending on the third party and the size of the account.
Fee Estimator
Location
Lafayette, CA
Get directionsHistory
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 Activities
Walter performs duties for Dixon Financial Services, a registered investment advisor, but his duties are limited in scope. He is not currently registered as an investment advisor representative.
Employment History
Current Registrations
Dixon Financial Services
Previous Registrations
Loring Ward Securities INC.Broker
Foothill Securities, INC.Broker
Rwb Securities INC.Broker
Reinhardt Werba Bowen Securities, INC.Broker
PFS Investments INC.Broker
State Registrations1 state
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.