TrueAdvisor
TrueAdvisor
CW
CW

Cari Walling

Procyon
26 Years of Experience
Melville, NY
View SEC Summary
View SEC Summary

Cari Walling is a registered investment advisor at Procyon, based in Melville, NY, with 26 years of industry experience. Cari operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 3,048 clients with $9.2B in assets under management.

Procyon
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
48 advisors
Number of Clients
3,048 clients
Average Client Portfolio
$3.0M average
Assets Under Management
$9.2B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.50%
$500K - $1.0M1.25%
$1.0M - $5.0M1.00%
$5.0M - $10.0M0.75%
$10.0M - $20.0M0.65%
$20.0M - $50.0M0.55%
$50.0M - $100.0M0.45%
$100M+0.45%

Fees are negotiable at the sole discretion of Procyon. Accounts from related clients are typically grouped together to achieve lower fee tiers. Trust fiduciary services add an additional 0.25% to the annual rate.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

225 BroadHollow Rd., Suite 400E, Melville, NY, 11747

Get directions

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.

Learn about disclosures →
Employment History
Current Registrations
Procyon
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Procyon Institutional Partners, LLC
May 2021 - December 2021 · 7 mos
Pivotal Planning Group, LLC
April 2019 - July 2021 · 2 yrs 3 mos
AXA Advisors, LLC
December 2017 - April 2019 · 1 yr 4 mos
AXA Advisors, LLCBroker
December 2016 - April 2019 · 2 yrs 4 mos
Goldman, Sachs & CO.Broker
September 2011 - October 2016 · 5 yrs 1 mo
Papamarkou Wellner & CO., INC.Broker
February 2006 - September 2011 · 5 yrs 7 mos
Credit Suisse Securities (USA) LLCBroker
November 2000 - February 2006 · 5 yrs 3 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
July 2000 - January 2003 · 2 yrs 6 mos
State Registrations1 state
NY
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.
More Advisors
More financial advisors in Melville, NY →All financial advisors in New York →