Rafael Scroggins is a registered investment advisor at RBC Securities, INC., based in San Francisco, CA, with 17 years of industry experience. Rafael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,451 clients with $1.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
RBC Securities offers a wrap fee program where you pay a single bundled fee that covers portfolio management, transaction costs, and custodial services. The fee is based on the market value of your account.
For Moderate Growth & Income, Growth & Income, Capital Growth, and Aggressive Capital Growth strategies:
- 1.25% annually on the first $1,000,000
- 1.00% annually on assets over $1,000,000
For Diversified Fixed Income and Conservative Growth & Income strategies:
- 0.80% annually on the first $1,000,000
- 0.65% annually on assets over $1,000,000
There is a $500 minimum annual fee. These fees are negotiable in certain circumstances.
Location
150 California St, 12th Floor, San Francisco, CA, 94111
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
RBC Securities, INC.
RBC Securities, INC
RBC Securities, INCBroker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Comerica Securities
Comerica SecuritiesBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
State Registrations1 state
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