RG
RG
Roberto Garfias
20 Years of Experience
Walnut Creek, CA
5 DisclosuresBroker
Roberto Garfias is a registered investment advisor at Wells Fargo Advisors, based in Walnut Creek, CA, with 20 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B
Fee Structure
Minimum Investment:$250K
- Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.
One-Time Plan:Up to $25,000
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Location
2001 N Main St Ste 410, [Nk/Nl-Rbo], Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (5)
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Judgment / Lien
June 2023Judgment / Lien
December 2022Judgment / Lien
December 2019Criminal
December 1994Final Disposition
Criminal
June 1994Final Disposition
Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
January 2023 - Present · 3 yrs 4 mos
Wells Fargo Advisors
January 2023 - Present · 3 yrs 4 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 2014 - January 2023 · 8 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2014 - January 2023 · 8 yrs 7 mos
Wells Fargo Advisors, LLCBroker
January 2011 - June 2014 · 3 yrs 5 mos
Wells Fargo Advisors, LLC
January 2011 - June 2014 · 3 yrs 5 mos
Wells Fargo Investments, LLC
November 2005 - January 2011 · 5 yrs 2 mos
Wells Fargo Investments, LLCBroker
November 2005 - January 2011 · 5 yrs 2 mos
State Registrations8 states
AZCACOMNNJNVORTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.