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CFP

Frank Romero

Focus Advisor Solutions, LLC
21 Years of Experience
New Braunfels, TX
Broker
View SEC Summary
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Frank Romero is a CFP-designated registered investment advisor at Focus Advisor Solutions, LLC, based in New Braunfels, TX, with 21 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management. Their firm serves 35,101 clients with $41B in assets under management.

Focus Advisor Solutions, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
43 advisors
Number of Clients
35,101 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$41.5B

Fee Structure

Minimum Investment:$500K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K0.65%
$500K - $1.0M0.35%
$1.0M - $5.0M0.25%
$5M+0.20%

Fees are negotiable. Independent investment advisors may also charge separate advisory fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

New Braunfels, TX

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Frank is a Regional Director at Focus Partners Advisor Solutions, LLC, spending full-time on advisor relations. He is also a registered representative of Foreside Financial Services, LLC, and has ownership stakes in a western apparel business, real estate, a bar/restaurant, and rental property, though these require minimal time.

Employment History
Current Registrations
Focus Advisor Solutions, LLC
December 2018 - Present · 7 yrs 10 mos
Foreside Financial Services, LLCBroker
October 2018 - Present · 8 yrs
Foreside Financial Services, LLC
October 2018 - Present · 8 yrs
Previous Registrations
Lwi Financial INC.
December 2006 - December 2018 · 12 yrs
Loring Ward Securities INC.Broker
June 2005 - October 2018 · 13 yrs 4 mos
State Registrations11 states
ALARFLGALAMSNCOKSCTNTX
AdvisorBrokerBoth

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.
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