Paul Marshall is a registered investment advisor at Swbc Investment Company, based in Encinitas, CA, with 22 years of industry experience. Paul is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 494 clients with $260M 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 $250K | 1.75% |
| $250K - $500K | 1.50% |
| $500K - $1.0M | 1.25% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.85% |
| $5M+ | 0.85% |
Fees are negotiable. Maximum fees are shown. Accounts of $5,000,000 or more have fully negotiated rates.
Fee Estimator
Location
Encinitas, CA
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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
Paul is an organizer for the St Baldricks Foundation, a nonprofit, and handles contributed funds. This activity requires a few hours per week of Paul's time.
Employment History
Current Registrations
Swbc Investment Company
Swbc Investment Services, LLC
Swbc Investment Services, LLCBroker
Previous Registrations
Advisors Asset Management, INC.
Advisors Asset Management, INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations3 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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