Gregg Shaffer
Gregg Shaffer is a registered investment advisor at Richmond Investment Services LLC, based in Mequon, WI, with 25 years of industry experience. Gregg operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 862 clients with $390M 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 $500K | 2.00% |
| $500K - $1.0M | 1.75% |
| $1.0M - $5.0M | 1.50% |
| $5M+ | 1.50% |
Fees negotiable for accounts over $5,000,000.
Fee Estimator
Location
7702 W Mequon Rd, Mequon, WI, 53097-3217
Get directionsHistory
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 ActivitiesSells Insurance
Gregg operates Richmond Investment Services as a DBA for his LPL business since 2020. He is also a licensed insurance agent selling non-variable insurance and an IAR for Richmond Investment Services, LLC, spending nearly full-time on the latter.
Employment History
Current Registrations
Richmond Investment Services LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
UBS Financial Services INC.Broker
State Registrations11 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.