Phillip Ristau is a registered investment advisor at Ristau Capital, LLC, based in Frisco, TX, with 24 years of industry experience. Phillip operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 15 clients with $6.2M 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 $100K | 1.50% |
| $100K+ | 1.00% |
Non-qualified clients pay 1.95% on assets under $100,000 until the fifth anniversary of the investment advisory agreement effective date and thereafter at an annual rate of 1.5%. If the fair market value of Managed Assets are greater than $100,000, clients pay the Firm the Management Fee at an annual rate of 1.5% until the fifth anniversary of the investment advisory agreement effective date and thereafter at an annual rate of 1.0%. Qualified clients pay a performance fee instead of an annual management fee.
Fee Estimator
Location
Frisco, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Phillip works as a Rural Carrier Associate for USPS, delivering mail. This takes 20-40 hours per week, all during trading hours.
Employment History
Current Registrations
Ristau Capital, LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Advice and Planning Services
Tiaa-Cref Individual & Institutional Services, LLCBroker
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
TD Ameritrade, INC.
TD Ameritrade, INC.Broker
Amerivest Investment Management, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
USAA Financial Planning Services
USAA Financial Advisors, INC.Broker
Allstate Financial Services, LLCBroker
Gabelli & Company, INC.Broker
Allstate Financial Services, LLCBroker
Fidelity Brokerage Services LLCBroker
State Registrations1 state
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.