Carolyn Lumley is a CFP-designated registered investment advisor at A to Z Asset Advisors, LLC, based in Aiken, SC, with 30 years of industry experience. Carolyn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 48 clients with $16M 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 $50K | 2.00% |
| $50K - $100K | 1.50% |
| $100K - $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1M+ | 1.00% |
Fees are negotiable for accounts over $1,000,000. A minimum household fee of $250 applies if client assets fall below $12,500. There is also a one-time opening charge of $250 and a one-time closing charge of $250 per client household.
Fee Estimator
Location
Aiken, SC
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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 →Employment History
Current Registrations
A to Z Asset Advisors, LLC
Previous Registrations
Private Client Services, LLCBroker
Purshe Kaplan Sterling InvestmentsBroker
Aig Financial Advisors, INC.Broker
Sunamerica Securities, INC.Broker
RBC Dain Rauscher INC.
RBC Dain Rauscher INC.Broker
Dean Witter Reynolds 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.
Exams
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