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Michelle Vazquez

Npa Asset Management, LLC
26 Years of Experience
Hato Rey, PR
15 DisclosuresBrokerSells Insurance
View SEC Summary
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Michelle Vazquez is a registered investment advisor at Npa Asset Management, LLC, based in Hato Rey, PR, with 26 years of industry experience. Michelle is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,746 clients with $1.1B in assets under management.

Npa Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
52 advisors
Number of Clients
2,746 clients
Average Client Portfolio
$388K average
Assets Under Management
$1.1B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Maximum annual account management fee is up to 3.00% and is negotiable. Fees vary by specific program, account size, and services selected.

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

Location

31 Calaf St, Hato Rey, PR, 00918

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History

Regulatory History (15)
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.
Customer Dispute
July 2020
Withdrawn
Customer Dispute
October 2018
Settled
Customer Dispute
October 2018
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
May 2018
Settled
Customer Dispute
February 2018
Settled
Customer Dispute
January 2018
Settled
Customer Dispute
October 2017
Settled
Customer Dispute
October 2017
Settled
Customer Dispute
August 2017
Settled
Financial
July 2017
Final
Customer Dispute
October 2015
Settled
Customer Dispute
November 2014
Settled
Customer Dispute
April 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Michelle is an independent insurance agent and dually registered with NPA Asset Management and Nationwide Planning Associates Inc. She also sells sweets and pastries during the Christmas season, sells real estate, and owns an online clothing brand called Ikoniik LLC.

Employment History
Current Registrations
Npa Asset Management, LLC
January 2018 - Present · 8 yrs 9 mos
Nationwide Planning Associates INC.Broker
August 2017 - Present · 9 yrs 2 mos
Previous Registrations
Npa Asset Management, LLC
August 2017 - December 2017 · 4 mos
Oriental Financial Services CORP.Broker
January 2011 - August 2017 · 6 yrs 7 mos
Santander Securities
March 2010 - December 2010 · 9 mos
Santander SecuritiesBroker
October 2005 - December 2010 · 5 yrs 2 mos
UBS Financial Services INC.Broker
April 2000 - November 2005 · 5 yrs 7 mos
UBS Financial Services Incorporated of Puerto RicoBroker
April 2000 - November 2005 · 5 yrs 7 mos
State Registrations2 states
FLPR
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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