Shu-Ming Chu is a registered investment advisor at Charles Schwab & CO., INC., based in Cupertino, CA, with 28 years of industry experience. Shu-Ming operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Location
19499 Stevens Creek Blvd., Suite 100, Cupertino, CA, 95014
Get directionsHistory
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
Shu-Ming owns a rental property in Santa Clara, CA, since 2019. Shu-Ming hires a property manager to handle all aspects of the rental, dedicating about 10-20% of their time to this activity.
Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Wma Securities, INC.Broker
State Registrations15 states
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