Lloyd Wong is a CFA-designated registered investment advisor at Clifford Swan Investment Counselors, based in Pasadena, CA, with 17 years of industry experience. Lloyd operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 5 more. Their firm serves 970 clients with $4.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $2.0M | 1.00% |
| $2.0M - $5.0M | 0.75% |
| $5.0M - $15.0M | 0.50% |
| $15.0M - $25.0M | 0.40% |
| $25M+ | 0.30% |
For a fixed-income only relationship, the fee schedule is negotiable, starting at 0.40% on the first $2.5 million. Clients utilizing Gateway as a sub-adviser, fees are charged an additional 0.50% annually.
Fee Estimator
Location
177 E. Colorado Blvd, Ste 550, Pasadena, CA, 91105-1965
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 →Employment History
Current Registrations
Clifford Swan Investment Counselors
State Registrations1 state
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.