AS
AS
Adam Slowik
28 Years of Experience
Mill Valley, CA
1 DisclosureBroker
Adam Slowik is a registered investment advisor at UBS Financial Services INC., based in Mill Valley, CA, with 28 years of industry experience. Adam 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. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9356 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
Loading...
Location
2 Belvedere Place, Suite 220, Mill Valley, CA, 94941
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
June 2006Denied
Employment History
Current Registrations
UBS Financial Services INC.
March 2009 - Present · 17 yrs 7 mos
UBS Financial Services INC.Broker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
April 2007 - March 2009 · 1 yr 11 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - March 2009 · 1 yr 11 mos
Morgan Stanley
February 2002 - April 2007 · 5 yrs 2 mos
Morgan Stanley Dw INC.Broker
September 1998 - April 2007 · 8 yrs 7 mos
H.J. Meyers & CO., INC.Broker
June 1998 - August 1998 · 2 mos
State Registrations29 states
CACOCTDCDEFLGAIDILINMAMDMEMIMNNCNENHNVNYOHORRISDTXUTVAVTWA
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.
More Advisors
- James PatrickUBS Financial Services INC.
- Alexander TaftUBS Financial Services INC.
- Aaron IgelUBS Financial Services INC.
- Brian Proses, CFPRational Investment Management, LLC
- Jesse Hindson, CFPAssembly Wealth
- Alexander Boeri, CFPMiller Avenue Advisors LLC