Max Safdie is a registered investment advisor at Union Capital Company, based in Mill Valley, CA, with 56 years of industry experience. Their practice areas include Investment Management. Their firm serves 517 clients with $180M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
12 advisors
Number of Clients
517 clients
Average Client Portfolio
$342K average
Assets Under Management
$177.0M
Fee Structure
Minimum Investment:$25K
Investment management only (planning not offered)
Union Capital Company manages investment portfolios for a fee based on the value of your portfolio. The annual fee ranges are:
- $0 to $5,000,000: 0.60% - 2.00%
- $5,000,001 to $10,000,000: 0.40% - 1.75%
- Over $10,000,000: Negotiable
Fees are calculated and collected quarterly in advance. There is a minimum account size of $25,000. The fees and account minimums are negotiable.
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Location
Mill Valley, CA
Get directionsHistory
Regulatory History (8)
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.
Regulatory
February 2009Final
Customer Dispute
September 2008Settled
Customer Dispute
February 2005Settled
Employment Separation After Allegations
July 1996Customer Dispute
January 1996Settled
Customer Dispute
October 1995Award / Judgment
Employment Separation After Allegations
October 1982Regulatory
August 1973Final
Employment History
Current Registrations
Union Capital Company
August 2017 - Present · 8 yrs 8 mos
Union Capital Company
August 2017 - Present · 8 yrs 8 mos
Union Capital CompanyBroker
August 2017 - Present · 8 yrs 8 mos
Previous Registrations
Financial West Group
September 2016 - August 2017 · 11 mos
Financial West GroupBroker
August 2012 - August 2017 · 5 yrs
Moors & Cabot, INC.Broker
January 2007 - August 2012 · 5 yrs 7 mos
Wedbush Morgan Securities INC.Broker
January 2000 - February 2007 · 7 yrs 1 mo
Sutro & CO. IncorporatedBroker
August 1996 - January 2000 · 3 yrs 5 mos
Prudential Securities IncorporatedBroker
September 1995 - July 1996 · 10 mos
Painewebber IncorporatedBroker
September 1993 - August 1995 · 1 yr 11 mos
Bear, Stearns & CO. INC.Broker
June 1982 - August 1993 · 11 yrs 2 mos
Dean Witter Reynolds INC.Broker
February 1978 - June 1982 · 4 yrs 4 mos
Reynolds Securities, INC.Broker
January 1970 - February 1978 · 8 yrs 1 mo
State Registrations4 states
AZCAIDWA
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.