TrueAdvisor
TrueAdvisor
CH
CH

Christopher Herrmann

Vertical Wealth, LLC
24 Years of Experience
Indianapolis, IN
11 Disclosures
View SEC Summary
View SEC Summary

Christopher Herrmann is a registered investment advisor at Vertical Wealth, LLC, based in Indianapolis, IN, with 24 years of industry experience. Christopher operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 66 clients with $32M in assets under management.

Vertical Wealth, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
66 clients
Average Client Portfolio
$480K average
Assets Under Management
$31.7M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.50%
$1.0M - $5.0M1.00%
$5M+0.75%

Fees are negotiable in certain circumstances, such as limited advice or generational family accounts.

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

Location

6402 Corporate Drive, Suite 102, Indianapolis, IN, 46278

Get directions

History

Regulatory History (11)
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
October 2018
Final
Customer Dispute
October 2016
Settled
Customer Dispute
March 2016
Settled
Customer Dispute
May 2015
Closed-No Action
Employment Separation After Allegations
April 2015
Customer Dispute
April 2015
Settled
Customer Dispute
October 2013
Denied
Customer Dispute
December 2009
Settled
Customer Dispute
December 2008
Settled
Customer Dispute
October 2008
Closed-No Action
Customer Dispute
November 2007
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Vertical Wealth, LLC
May 2016 - Present · 10 yrs
Previous Registrations
Key Investment Services LLC
September 2011 - May 2015 · 3 yrs 8 mos
Key Investment Services LLCBroker
September 2011 - May 2015 · 3 yrs 8 mos
David A. Noyes & Company
May 2008 - August 2011 · 3 yrs 3 mos
David A. Noyes & CompanyBroker
May 2008 - August 2011 · 3 yrs 3 mos
Morgan Keegan & Company, INC.
July 2004 - May 2008 · 3 yrs 10 mos
Morgan Keegan & Company, INC.Broker
July 2004 - May 2008 · 3 yrs 10 mos
Union Planters Investment Advisors, INC.
April 2003 - August 2004 · 1 yr 4 mos
Pfic Securities CorporationBroker
April 2003 - August 2004 · 1 yr 4 mos
Merrill Lynch Pierce Fenner & Smith INC.
November 2001 - March 2003 · 1 yr 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2001 - March 2003 · 1 yr 10 mos
Robert W. Baird & CO. IncorporatedBroker
February 2000 - May 2001 · 1 yr 3 mos
Northwestern Mutual Investment Services, LLCBroker
February 2000 - May 2001 · 1 yr 3 mos
State Registrations1 state
IN
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 financial advisors in Indianapolis, IN →All financial advisors in Indiana →