Simon Chung is a CFP-designated registered investment advisor at Captrust, based in Costa Mesa, CA, with 23 years of industry experience. Simon is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 41,750 clients with $1200B 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 $1.0M | 1.25% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.85% |
| $5M+ | 0.70% |
Fees are negotiable and may be higher, lower, or waived based on account size, investment approach, complexity, and relationship duration. Assets above $10M are negotiable.
Fee Estimator
Location
1124 Bristol Street, Costa Mesa, CA, 92626
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
Simon is a licensed insurance agent since 2004 and may find a life insurance policy for clients as part of their financial plan. He dedicates minimal time to this activity.
Employment History
Current Registrations
Capfinancial Securities, LLC.Broker
Captrust
Previous Registrations
Alpha Cubed Investments, LLC
Royal Alliance Associates, INC.
Royal Alliance Associates, INC.Broker
Churchill Management Group
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
Creative Planning
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
TD Ameritrade, INC.
Amerivest Investment Management, LLC
TD Ameritrade, INC.Broker
Fisher Investments
Western Financial Advisors
Wfp SecuritiesBroker
Pacific Select Distributors, INC.Broker
State Registrations2 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.
Exams
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