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Robert Mendoza

Brio Financial Group
18 Years of Experience
San Francisco, CA
1 Disclosure
View SEC Summary
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Robert Mendoza is a registered investment advisor at Brio Financial Group, based in San Francisco, CA, with 18 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 804 clients with $1.1B in assets under management.

Brio Financial Group
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
16 advisors
Number of Clients
804 clients
Average Client Portfolio
$1.3M average
Assets Under Management
$1.1B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee will not exceed 2.00%. Fees are negotiable and billed monthly in advance based on average daily value.

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

Location

19 Sutter Street, San Francisco, CA, 94104

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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
July 2020
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Robert is a notary public, notarizing documents since 2022. This requires minimal time.

Employment History
Current Registrations
Brio Financial Group
September 2026 - Present · 1 mo
Previous Registrations
Bailard, INC.
July 2023 - August 2026 · 3 yrs 1 mo
Cetera Advisor Networks LLC
October 2020 - May 2023 · 2 yrs 7 mos
Cetera Advisor Networks LLCBroker
October 2020 - May 2023 · 2 yrs 7 mos
Raymond James & Associates, INC.Broker
September 2016 - August 2020 · 3 yrs 11 mos
Raymond James & Associates, INC.
September 2016 - August 2020 · 3 yrs 11 mos
Deutsche Bank Securities INC.
November 2015 - September 2016 · 10 mos
Deutsche Bank Securities INC.Broker
November 2015 - September 2016 · 10 mos
Ameriprise Financial Services, INC.
March 2014 - November 2015 · 1 yr 8 mos
Ameriprise Financial Services, INC.Broker
March 2014 - November 2015 · 1 yr 8 mos
Cue Financial Group, INC.
August 2013 - December 2013 · 4 mos
Foothill Securities, INC.Broker
August 2013 - January 2014 · 5 mos
Wells Fargo Advisors, LLC
July 2010 - July 2013 · 3 yrs
Wells Fargo Advisors, LLCBroker
July 2010 - July 2013 · 3 yrs
Morgan Stanley Smith Barney LLC
June 2009 - June 2010 · 1 yr
Morgan Stanley Smith BarneyBroker
June 2009 - June 2010 · 1 yr
Citigroup Global Markets INC.
December 2007 - June 2009 · 1 yr 6 mos
Citigroup Global Markets INC.Broker
April 2007 - June 2009 · 2 yrs 2 mos
State Registrations1 state
CA
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.
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