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Christopher Caffrey

Global Assets Advisory, LLC
30 Years of Experience
Petaluma, CA
3 Disclosures
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Christopher Caffrey is a registered investment advisor at Global Assets Advisory, LLC, based in Petaluma, CA, with 30 years of industry experience. Christopher operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, High Net Worth, and 3 more. Their firm serves 2,588 clients with $550M in assets under management.

Global Assets Advisory, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
30 advisors
Number of Clients
2,588 clients
Average Client Portfolio
$213K average
Assets Under Management
$551.7M

Fee Structure

Minimum Investment:$50K
Planning is included in investment management
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Fees are charged at an annual rate up to 3.00% depending on the size of the relationship, transaction fee arrangements, and service complexity. Fees are negotiated between the client and the advisor.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

17 Keller Street, Petaluma, CA, 94952

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
January 2024
Customer Dispute
January 2022
Settled
Customer Dispute
April 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Christopher is an advisor with International Assets Investment Management LLC and MACO Wealth Management, dedicating about a quarter of his time to each. He also serves as a committee member for Saint Vincent de Paul Parish, secretary for Sonoma County Trailblazers, and trustee for the Estate of Thomas Nelson, each requiring minimal time.

Employment History
Current Registrations
Global Assets Advisory, LLC
March 2024 - Present · 2 yrs 7 mos
International Assets Investment Management, LLC
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Morgan Stanley
June 2009 - February 2024 · 14 yrs 8 mos
Morgan StanleyBroker
June 2009 - February 2024 · 14 yrs 8 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 2004 - April 2007 · 2 yrs 9 mos
Morgan Stanley Dw INC.Broker
September 2002 - April 2007 · 4 yrs 7 mos
A. G. Edwards & Sons, INC.
July 1997 - August 2002 · 5 yrs 1 mo
A. G. Edwards & Sons, INC.Broker
May 1996 - August 2002 · 6 yrs 3 mos
State Registrations1 state
CA
Advisor

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
No exam information available for this advisor.
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