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Frank Fava

Vanderbilt Advisory Services
25 Years of Experience
Totowa, NJ
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Frank Fava is a registered investment advisor at Vanderbilt Advisory Services, based in Totowa, NJ, with 25 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 6,470 clients with $2.1B in assets under management.

Vanderbilt Advisory Services
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
166 advisors
Number of Clients
6,470 clients
Average Client Portfolio
$326K average
Assets Under Management
$2.1B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Minimum Annual Fee:$90
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.50%
$100K - $250K2.25%
$250K - $500K2.00%
$500K - $1.0M1.75%
$1.0M - $2.0M1.50%
$2.0M - $5.0M1.25%
$5.0M - $10.0M1.00%
$10M+0.75%

Firm also offers threshold billing, flat percentage, and flat annual fee structures. Fees are negotiable.

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

Location

Totowa, NJ

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History

Regulatory History (2)
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.
Financial
October 2020
Final
Customer Dispute
March 2012
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Frank is the president of FAVA Financial Group LLC, an investment-related business, and dedicates all of his time to it. He also owns rental real estate and is involved with a golf clothing manufacturer, spending minimal time on each.

Employment History
Current Registrations
Vanderbilt Advisory Services
May 2021 - Present · 5 yrs 5 mos
Vanderbilt Securities, LLCBroker
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Westport Capital Markets, LLC
July 2014 - June 2021 · 6 yrs 11 mos
Westport Capital Markets, LLCBroker
July 2014 - June 2021 · 6 yrs 11 mos
Westport Capital Markets, LLC
July 2014 - July 2014 · 0 mos
LPL Financial LLC
October 2011 - August 2014 · 2 yrs 10 mos
LPL Financial LLCBroker
October 2011 - August 2014 · 2 yrs 10 mos
Morgan Stanley Smith Barney LLC
June 2009 - November 2011 · 2 yrs 5 mos
Morgan Stanley Smith BarneyBroker
June 2009 - November 2011 · 2 yrs 5 mos
Morgan Stanley & CO. IncorporatedBroker
October 2007 - June 2009 · 1 yr 8 mos
Morgan Stanley & CO. Incorporated
October 2007 - June 2009 · 1 yr 8 mos
Citigroup Global Markets INC.
January 2004 - October 2007 · 3 yrs 9 mos
Citigroup Global Markets INC.Broker
January 2004 - October 2007 · 3 yrs 9 mos
UBS Financial Services INC.
March 2001 - February 2004 · 2 yrs 11 mos
UBS Financial Services INC.Broker
December 2000 - February 2004 · 3 yrs 2 mos
State Registrations9 states
AZCTFLMANHNJNYTXVA
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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