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Richard Shu
24 Years of Experience
Louisville, KY
4 Disclosures
Richard Shu is a registered investment advisor at Remington Wealth Management LLC, based in Louisville, KY, with 24 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 4 clients with $15M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
4 clients
Average Client Portfolio
$3.9M average
Assets Under Management
$15.5M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $10K | 1.50% |
| $10K - $200K | 1.25% |
| $200K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.90% |
| $2.0M - $5.0M | 0.80% |
| $5.0M - $10.0M | 0.70% |
| $10M+ | 0.40% |
Fees may be negotiable under unusual circumstances.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Louisville, KY
Get directionsHistory
Regulatory History (4)
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Customer Dispute
December 2012Settled
Regulatory
May 2012Final
Employment Separation After Allegations
July 2010Customer Dispute
December 2006Settled
Employment History
Current Registrations
Remington Wealth Management LLC
August 2010 - Present · 15 yrs 9 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
October 2010 - April 2012 · 1 yr 6 mos
LPL Financial Corporation
January 2006 - August 2010 · 4 yrs 7 mos
LPL Financial CorporationBroker
January 2006 - August 2010 · 4 yrs 7 mos
Fifth Third Securities, INC.
February 2005 - January 2006 · 11 mos
Fifth Third Securities, INC.Broker
September 2004 - January 2006 · 1 yr 4 mos
Morgan Stanley
July 2001 - September 2004 · 3 yrs 2 mos
Morgan Stanley Dw INC.Broker
April 2001 - September 2004 · 3 yrs 5 mos
State Registrations1 state
KY
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.