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John Frick

Realta Investment Advisors, INC
28 Years of Experience
York, PA
5 DisclosuresBroker
View SEC Summary
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John Frick is a registered investment advisor at Realta Investment Advisors, INC, based in York, PA, with 28 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 6 more. Their firm serves 1,231 clients with $390M in assets under management.

Realta Investment Advisors, INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
57 advisors
Number of Clients
1,231 clients
Average Client Portfolio
$313K average
Assets Under Management
$385.4M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum annualized fee is 2.50%. Fees are negotiable at the discretion of the firm or financial advisor.

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

Location

2350 Freedom Way, Suite 101, York, PA, 17402

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History

Regulatory History (5)
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.
Customer Dispute
August 2011
Settled
Customer Dispute
September 2009
Denied
Customer Dispute
May 2009
Settled
Customer Dispute
April 2008
Settled
Customer Dispute
February 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John works for Realta Investment Advisors, Inc. as an investment advisor representative, spending nearly full-time hours there. He also operates a marketing platform under the DBA New Era Wealth Management, dedicating a few hours per week to this activity.

Employment History
Current Registrations
Realta Investment Advisors, INC
June 2018 - Present · 8 yrs 4 mos
Realta Equities, INC.Broker
June 2018 - Present · 8 yrs 4 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
March 2009 - June 2018 · 9 yrs 3 mos
Raymond James Financial Services, INC.Broker
March 2009 - June 2018 · 9 yrs 3 mos
Wachovia Securities, LLC
July 2003 - March 2009 · 5 yrs 8 mos
Wachovia Securities, LLCBroker
July 2003 - March 2009 · 5 yrs 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
February 2003 - July 2003 · 5 mos
UBS Painewebber INC.Broker
November 2001 - November 2001 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1999 - July 2003 · 3 yrs 9 mos
Metropolitan Life Insurance CompanyBroker
December 1997 - October 1999 · 1 yr 10 mos
Metlife Securities INC.Broker
December 1997 - October 1999 · 1 yr 10 mos
State Registrations3 states
DEFLPA
AdvisorBrokerBoth

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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