Adam Brophy
Adam Brophy is a registered investment advisor at Principal Securities, INC., based in Menomonee Falls, WI, with 20 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B 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 $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
W137N5557 Williams Pl, Menomonee Falls, WI, 53051
Get directionsHistory
Regulatory History (1)
Customer Dispute
February 2014Other Business ActivitiesSells Insurance
Adam sells various insurance products, including traditional insurance, long-term care, disability, health, group benefits, and P&C, through Outside Insurance. He is also a 50% owner and active manager of Union Financial, Inc., and one of three managing members of Bad Partners, LLC, which replaced Bridge VEBA.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
State Registrations18 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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