Thomas Cates
Thomas Cates is a registered investment advisor at The Wellington Grp LLC, based in Indianapolis, IN, with 27 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 110 clients with $140M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Wellington Group charges a fee of up to 2.00% per year to manage your investments. The fee can be a tiered schedule, a flat percentage, or a flat dollar amount, and is negotiable. The fee is paid quarterly, either in advance or in arrears, depending on the agreement. You can terminate the agreement within five business days for a full refund. After that, you'll receive a refund of unearned fees based on the number of days under management.
Location
9000 Keystone Crossing, Suite 400, Indianapolis, IN, 46240
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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 →Other Business ActivitiesSells Insurance
Thomas established Cates Wealth Management LLC in 2005 for tax purposes related to his financial business, dedicating minimal time. He is also the Founder/Partner of Wellington Wealth Strategies, an RIA and insurance-licensed entity, where he spends full-time selling fixed/traditional insurance products.
Employment History
Current Registrations
The Wellington Grp LLC
Previous Registrations
Wellington Wealth Strategies, LLC
Purshe Kaplan Sterling InvestmentsBroker
Wellington Wealth Strategies, LLC
Park Avenue Securities LLCBroker
Park Avenue Securities LLC
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Guardian Investor Services CorporationBroker
State Registrations1 state
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