Alan Ray
Alan Ray is a CFP-designated registered investment advisor at Square Peg Financial Advisory Services, LLC, based in Columbus, OH, with 26 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 5 clients with $1.6M 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 $1.0M | 1.00% |
| $1.0M - $1.5M | 0.50% |
| $1.5M - $2.0M | 0.25% |
| $2.0M - $3.0M | 0.13% |
| $3M+ | 0.00% |
Square Peg FAS reserves the right to negotiate a different schedule under unusual circumstances.
Fee Estimator
Location
Columbus, OH
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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 ActivitiesSells Insurance
Alan is a licensed independent insurance agent, though his insurance activities are separate from his financial advisory services. He spends minimal time on insurance-related activities, only acting as an agent when financial plan recommendations include insurance products like life insurance, long-term care insurance, disability income insurance, or annuities.
Employment History
Current Registrations
Square Peg Financial Advisory Services, LLC
Previous Registrations
Alphastar Capital Management, LLC
Mutual of Omaha Investor Services, INC.Broker
Mutual of Omaha Investor Services, INC.
Nationwide Securities, LLC
Nationwide Securities, LLCBroker
Spc
Sigma Financial CorporationBroker
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Security First Financial, INC.Broker
Northwestern Mutual Investment Services, INC.Broker
Robert W. Baird & CO. IncorporatedBroker
State Registrations1 state
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.