Mindi Marisa is a CFP-designated registered investment advisor at Vanguard Advisers, INC., based in Malvern, PA, with 23 years of industry experience. Mindi is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 791,528 clients with $340B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Retirement plan consultation and financial plan (New model) — $250 for the consultation and plan, unless a lower fee was agreed upon with your plan sponsor.
- Retirement plan consultation and financial plan (Legacy model for accounts $50,000 to $500,000) — $250, unless you qualify for a fee waiver (waivers apply if you have over $500,000 in total Vanguard assets or are over age 55).
- Retirement plan consultation and financial plan (Legacy model for accounts under $50,000) — $1,000, unless you qualify for a fee waiver.
Location
100 Vanguard Blvd, Malvern, PA, 19355
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 Activities
Mindi is a partner/owner in HJM Partners, LLC, a land purchasing business, but spends no time on it. She also teaches dance at Kicks Academy of Dance for minimal time each month.
Employment History
Current Registrations
Vanguard Advisers, INC.
Vanguard Marketing Corporation
Vanguard Marketing CorporationBroker
Previous Registrations
Barclays Capital INC.Broker
Lehman Brothers INC.Broker
State Registrations4 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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