Roger Palley is a CFA-designated registered investment advisor at First Foundation Advisors, based in Irvine, CA, with 22 years of industry experience. Roger operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,316 clients with $5.1B 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 $3.0M | 1.00% |
| $3.0M - $5.0M | 0.75% |
| $5M+ | 0.50% |
Rates shown are for the Equity and Balanced Accounts Program. The firm also offers separate schedules for Fixed Income Accounts (0.25% to 0.50%) and Fixed Income Short Duration Accounts (0.05% to 0.25%). Fees are negotiable.
Fee Estimator
Location
18101 Von Karman Ave, Suite 700, Irvine, CA, 92612-1051
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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
First Foundation Advisors
Previous Registrations
Neuberger Berman LLC
Wells Fargo Investments, LLC
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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