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Victor Roach

Advice and Planning Services
26 Years of Experience
Beachwood, OH
1 DisclosureBroker
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Victor Roach is a registered investment advisor at Advice and Planning Services, based in Beachwood, OH, with 26 years of industry experience. Victor is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 72,503 clients with $38B in assets under management.

Advice and Planning Services
Compensation
Fee-Only (% of Portfolio)
Firm Size
1692 advisors
Number of Clients
72,503 clients
Average Client Portfolio
$523K average
Assets Under Management
$37.9B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.15%

Rates vary by managed account program. TIAA Portfolio Advisor uses a tiered schedule ranging from 1.15% down to 0.40% annually. Private Asset Management ranges from 0.90% down to 0.40% for blended portfolios plus transaction costs, and 0.15% for fixed income portfolios plus transaction costs.

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

Location

Two Chagrin Highlands, 3000 Auburn Drive, Suite 150, Beachwood, OH, 44122

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History

Regulatory History (1)
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.
Employment Separation After Allegations
August 2015
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Victor umpires baseball games for youth leagues in Ohio and is paid a fee by various organizations. This takes about a quarter of his time.

Employment History
Current Registrations
Tiaa-Cref Individual & Institutional Services, LLC
November 2015 - Present · 10 yrs 11 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
November 2015 - Present · 10 yrs 11 mos
Advice and Planning Services
November 2015 - Present · 10 yrs 11 mos
Previous Registrations
Strategic Advisers, INC.
December 2008 - September 2015 · 6 yrs 9 mos
Fidelity Brokerage Services LLCBroker
December 2008 - September 2015 · 6 yrs 9 mos
Raymond James & Associates, INC.
January 2004 - December 2008 · 4 yrs 11 mos
Raymond James & Associates, INC.Broker
January 2004 - December 2008 · 4 yrs 11 mos
Advest, INC.
May 2003 - January 2004 · 8 mos
Advest, INC.Broker
May 2000 - January 2004 · 3 yrs 8 mos
Mcdonald Investments INC.Broker
January 2000 - April 2000 · 3 mos
State Registrations17 states
AZCTFLILINMAMDMIMTNCNJNYOHPASCTNVA
AdvisorBrokerBoth

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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