Simon Chung is a CFP-designated registered investment advisor at Captrust, based in Costa Mesa, CA, with 23 years of industry experience. Simon operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 36,839 clients with $1100B 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 | 2.25% |
| $500K - $1.0M | 2.00% |
| $1.0M - $2.0M | 1.75% |
| $2.0M - $5.0M | 1.25% |
| $5M+ | 1.00% |
Advisory fees are subject to negotiation based on multiple factors including clients with multiple accounts, size of the account, a prior or existing relationship, and a client’s particular needs or financial characteristics.
Fee Estimator
Location
1124 Bristol St., 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
Captrust
Capfinancial Securities, LLC.Broker
Alpha Cubed Investments, LLC
Previous Registrations
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.