Rick Pearl
Rick Pearl is a registered investment advisor at Independent Financial Group, LLC, based in Warsaw, IN, with 29 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.
Location
1822 E. Center St., Warsaw, IN, 46580
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
September 2019Other Business ActivitiesSells Insurance
Rick is an insurance agent offering various types of insurance products, dedicating minimal time to this. He is also a 90% owner of Pearl Financial Inc., a DBA used for marketing purposes, which takes nearly full-time. Finally, Rick owns rental properties, requiring minimal time.
Employment History
Current Registrations
Independent Financial Group, LLCBroker
Independent Financial Group, LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Robert W. Baird & CO. IncorporatedBroker
Natcity Insurance Services, INC.Broker
Natcity Investments, INC.Broker
Liberty Securities CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations7 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.