Alan Leist is a CFA-designated registered investment advisor at Strategic Financial Services, based in Utica, NY, with 30 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Corporate Executives, Education Planning, Estate Planning, and 7 more. Their firm serves 1,336 clients with $2.8B 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 - $2.0M | 0.90% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $15.0M | 0.50% |
| $15M+ | 0.45% |
Fees are negotiable on a client-by-client basis. Reduced pricing schedules may apply for accounts with low-cost basis securities.
Fee Estimator
Location
114 Business Park Drive, Utica, NY, 13502
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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
Alan is a passive minority investor in Green Apple Cleaners since 2008, requiring minimal time. He also serves on the Board of Directors for AAA Northeast, dedicating a few hours per week to advising on strategic initiatives and providing oversight.
Employment History
Current Registrations
Strategic Financial Services
Previous Registrations
Cadaret, Grant & CO., INC.Broker
Fulcrum Global Partners LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.
Exams
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