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Richard Sladek

Union Capital Company
57 Years of Experience
Incline Village, NV
10 DisclosuresMay Earn Commission
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Richard Sladek is a registered investment advisor at Union Capital Company, based in Incline Village, NV, with 57 years of industry experience. Their practice areas include Insurance Planning, Investment Management, Retirement Planning. Their firm serves 414 clients with $150M in assets under management.

Union Capital Company
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
10 advisors
Number of Clients
414 clients
Average Client Portfolio
$362K average
Assets Under Management
$150.0M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M2.00%
$5.0M - $10.0M1.75%
$10M+1.75%

Fees range from 0.60% to 2.00% for assets up to $5M, and 0.40% to 1.75% for assets between $5M and $10M. Fees are negotiable for accounts over $10M and depending on account size, prior relationship, or other factors.

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

Location

Incline Village, NV

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History

Regulatory History (10)
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
April 2019
Settled
Employment Separation After Allegations
August 2017
Customer Dispute
April 2017
Settled
Customer Dispute
March 2016
Settled
Customer Dispute
May 2005
Closed-No Action
Customer Dispute
October 2004
Settled
Customer Dispute
March 2003
Award / Judgment
Customer Dispute
January 2002
Denied
Customer Dispute
August 2001
Settled
Customer Dispute
January 2001
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Union Capital Company
July 2018 - Present · 8 yrs 3 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
July 1998 - September 2017 · 19 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - September 2017 · 39 yrs
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
March 1968 - September 1978 · 10 yrs 6 mos
State Registrations4 states
CAFLNVWA
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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