TB
CFP · ChFC
TB
CFP · ChFC

Thomas Braun

21 Years of Experience
Lakewood, CO

Thomas Braun is a CFP, ChFC-designated registered investment advisor at Theory Financial, based in Lakewood, CO, with 21 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, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 252 clients with $320M in assets under management.

Compensation
Fee-Only (% of Portfolio)
Firm Size
3 advisors
Number of Clients
252 clients
Average Client Portfolio
$1.3M average
Assets Under Management
$319.2M

Fee Structure

Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.99%
$250K - $750K0.85%
$750K - $1.5M0.75%
$1.5M - $3.0M0.65%
$3.0M - $5.0M0.55%
$5M+0.50%

Fees are negotiable. Household accounts may be combined for reduced fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

355 S Teller Street, Suite 200, Lakewood, CO, 80226

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Thomas is an owner and landlord of a rental property in Denver, CO, since June 2021. He spends minimal time on this activity.

Employment History
Current Registrations
Theory Financial
November 2020 - Present · 5 yrs 11 mos
Previous Registrations
Advice and Planning Services
October 2006 - November 2020 · 14 yrs 1 mo
Tiaa-Cref Individual & Institutional Services, LLCBroker
August 2006 - November 2020 · 14 yrs 3 mos
Edward JonesBroker
September 2004 - May 2006 · 1 yr 8 mos
State Registrations1 state
CO
Advisor

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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