Tracy Gallman is a registered investment advisor at Axos Invest, INC, based in Las Vegas, NV, with 28 years of industry experience. Tracy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 8,764 clients with $150M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Axos Invest charges a fee for managing your investments, called a Model Fee. This fee covers the cost of asset allocation and the investment portfolio itself. The Model Fee includes brokerage commissions and transaction fees. The fee is calculated quarterly based on your average daily balance. There is also a $40 minimum annual account fee, charged quarterly ($10 per quarter). If your Model Fee is less than $10 in a quarter, Axos Invest will charge you the difference to meet the minimum.
Location
9205 W Russell Road, Suite 400, Las Vegas, NV, 89148
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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.
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Tracy supervises premier banking and lending at Axos Bank since February 2023. This non-investment related activity takes about half of Tracy's time.
Employment History
Current Registrations
Axos Invest, INC
Axos Invest LLC
Axos Invest LLCBroker
Previous Registrations
Primerica Advisors
PFS Investments INC.Broker
Adviser Dealer Services, INC.Broker
Capital Advisors, INC.
LPL Financial LLC
LPL Financial LLCBroker
RBC Dain Rauscher INC.
RBC Dain Rauscher INC.Broker
Nicholas-Applegate Securities (a California Limited Partnership)Broker
State Registrations51 states
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