AC
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Andrew Cap
14 Years of Experience
San Diego, CA
1 DisclosureBroker
Andrew Cap is a registered investment advisor at Charles Schwab & CO., INC., based in San Diego, CA, with 14 years of industry experience. Andrew 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
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$4,000
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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
10920 Via Frontera, Suite 100, San Diego, CA, 92127-1730
Get directionsHistory
Regulatory History (1)
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 2007Settled
Employment History
Current Registrations
Charles Schwab & CO., INC.
September 2024 - Present · 2 yrs 1 mo
Charles Schwab & CO., INC.Broker
April 2023 - Present · 3 yrs 6 mos
Previous Registrations
Banc of America Investment Services, INC.
June 2004 - October 2009 · 5 yrs 4 mos
Banc of America Investment Services, INC.Broker
June 2004 - October 2009 · 5 yrs 4 mos
Morgan Stanley
August 2002 - June 2004 · 1 yr 10 mos
Morgan Stanley Dw INC.Broker
October 1999 - June 2004 · 4 yrs 8 mos
Prudential Securities IncorporatedBroker
August 1998 - July 1999 · 11 mos
Fortress Financial Group, LTD.Broker
March 1998 - May 1998 · 2 mos
Lloyd Wade Securities INC.Broker
February 1998 - February 1998 · 0 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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