Ari Litvin is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Denver, CO, with 26 years of industry experience. Ari is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B 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 $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
4600 S Syracuse St, Ste 1000, Denver, CO, 80237
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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
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Advisors
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Morgan Stanley & CO., IncorporatedBroker
Morgan Stanley & CO., Incorporated
Morgan Stanley Dw INC.Broker
Morgan Stanley
Planmember Securities CorporationBroker
Planmember Securities Corporation
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Morgan Stanley Dw INC.Broker
State Registrations7 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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