Tracy Schmuhl is a CFP-designated registered investment advisor at Charles Schwab & CO., INC., based in Napa, CA, with 11 years of industry experience. Tracy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.
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% |
Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.
Fee Estimator
Location
935 Franklin Street, Napa, CA, 94559
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
Tracy provides legal and notary services. This activity is not investment-related and takes about 10-20% of Tracy's time.
Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
Ba Investment Services, INC.Broker
State Registrations45 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
More Advisors
- Ronald BoyceCharles Schwab & CO., INC.
- Gary Norman, ChFCEdward Jones
- Paul Dedora, CFPDedora Capital, INC.
- John Cardinale, ChFCState Farm Investment Management CORP.
- Richard Barry, CFPWells Fargo Advisors
- Tonya West, CFPThe Mather Group, LLC