ES
CFP
ES
CFP

Elaina C Serotte

16 Years of Experience
7 Disclosures
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningTax Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
71 advisors
Number of Clients
3,868 clients
Average Client Portfolio
$2.3M average
Assets Under Management
$8.7B

Fee Structure

Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K1.25%
$250K - $2.0M1.00%
$2.0M - $4.0M0.85%
$4.0M - $6.0M0.70%
$6.0M - $10.0M0.60%
$10.0M - $25.0M0.50%
$25M+0.30%

The Registrant generally requires an annual minimum fee of $3,000 for its investment advisory services. The Registrant’s investment advisory fee is negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
Minimum Annual Fee:$3,000
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Location

150 Spear Street, Suite 1600, San Francisco, CA, 94105

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History

Regulatory History (7)
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
July 2015
Denied
Customer Dispute
July 2014
Settled
Customer Dispute
March 2014
Denied
Customer Dispute
June 2013
Denied
Customer Dispute
December 2012
Denied
Customer Dispute
October 2012
Denied
Customer Dispute
July 2012
Denied
Employment History
Current Registrations
Parallel Advisors, LLC
September 2019 - Present · 6 yrs 5 mos
Previous Registrations
MML Investors Services, LLC
March 2004 - January 2014 · 9 yrs 10 mos
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.
Elaina C Serotte - Financial Advisor | TrueAdvisor