AK
AK
Allen Kay
21 Years of Experience
Temecula, CA
16 Disclosures
Allen Kay is a registered investment advisor at Investment Managers Group, LLC, based in Temecula, CA, with 21 years of industry experience. Allen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 255 clients with $110M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
255 clients
Average Client Portfolio
$432K average
Assets Under Management
$110.1M
Fee Structure
Planning is included in investment management
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
31045 Temecula Parkway, Suite 207, Temecula, CA, 92592
Get directionsHistory
Regulatory History (16)
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.
Regulatory
December 2010Final
Employment Separation After Allegations
January 2010Customer Dispute
December 2008Settled
Customer Dispute
October 2008Settled
Customer Dispute
October 2008Settled
Customer Dispute
September 2008Settled
Customer Dispute
September 2008Settled
Customer Dispute
September 2008Settled
Customer Dispute
September 2008Settled
Customer Dispute
July 2008Settled
Customer Dispute
July 2008Settled
Customer Dispute
July 2008Settled
Customer Dispute
July 2008Settled
Customer Dispute
July 2008Settled
Customer Dispute
July 2008Settled
Customer Dispute
June 2008Settled
Employment History
Current Registrations
Investment Managers Group, LLC
November 2012 - Present · 13 yrs 6 mos
Previous Registrations
American Money Management, LLC
May 2009 - January 2011 · 1 yr 8 mos
Wachovia Securities, LLC
May 2008 - January 2009 · 8 mos
Wachovia Securities, LLCBroker
May 2008 - January 2009 · 8 mos
Wells Fargo Investments, LLC
October 2002 - May 2008 · 5 yrs 7 mos
Wells Fargo Investments, LLCBroker
April 2002 - May 2008 · 6 yrs 1 mo
State Registrations1 state
CA
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.