Cesar Rocha is a registered investment advisor at Charles Schwab & CO., INC., based in Los Angeles, CA, with 17 years of industry experience. Cesar operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Location
355 S. Grand Ave, Suite 110, Los Angeles, CA, 90071-3158
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
Cesar owns rental real estate property since 2022, dedicating minimal time to it. This activity is not investment-related.
Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
TD Ameritrade, INC.Broker
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
Wamu Investments, INC.Broker
Aig Financial Advisors, INC.Broker
Sunamerica Securities, INC.Broker
State Registrations11 states
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