Shawn Loddy
Shawn Loddy is a registered investment advisor at Sml Advisory, based in Rio Rancho, NM, with 25 years of industry experience. Shawn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 14 clients with $1.2M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 2.00% |
| $1.0M - $5.0M | 1.75% |
| $5.0M - $10.0M | 1.50% |
| $10M+ | 1.00% |
The annual fee may be negotiable. Accounts within the same household may be combined for a reduced fee. SML Advisory also charges a performance-based fee for accounts over $1,000,000: 20% after an 8% hurdle.
Fee Estimator
Location
Rio Rancho, NM
Get directionsHistory
Regulatory History (3)
Employment Separation After Allegations
December 2005Regulatory
October 2002Criminal
March 1998Other Business ActivitiesSells Insurance
Shawn works as a technician at Breakout AV, spending a few weeks per year on this activity. Shawn is also a sole proprietor and insurance agent, selling insurance products and dedicating minimal time to this.
Employment History
Current Registrations
Sml Advisory
Previous Registrations
Regal Advisory Services, INC.
Regal Securities, INC.Broker
Scf Investment Advisors, INC.
Scf Securities, INC.Broker
Waveland Capital Partners LLCBroker
Asset Management Strategies, L.L.C.
Princor Financial Services CorporationBroker
State Registrations2 states
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.