John Heldman
John Heldman is a CFA-designated registered investment advisor at Triad Investment Management, LLC, based in Laguna Niguel, CA, with 26 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 45 clients with $120M 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 $2.5M | 1.50% |
| $2.5M - $5.0M | 1.30% |
| $5M+ | 1.10% |
Standard fee schedules may be negotiable based on grandfathered accounts, related accounts, and other special situations. Fees are waived for employee accounts.
Fee Estimator
Location
Laguna Niguel, CA
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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 →Employment History
Current Registrations
Triad Investment Management, LLC
Previous Registrations
Neuberger Berman, LLC
Deutsche Investment Management Americas INC.
State Registrations2 states
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
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