Nicholas Pfeiffer
Nicholas Pfeiffer is a registered investment advisor at Silver Oak Securities, INC., based in Louisville, KY, with 18 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 8,671 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Silver Oak Securities offers investment management through its Compass and AdvisorFX programs. The advisor fee is negotiable, with a maximum of 2% of assets. In addition to the advisor fee, there is a platform fee that includes a flat $45 per year and an asset-based fee between 0.08% and 0.15% for Compass accounts, and 0.20% for AdvisorFX accounts. Fees are billed quarterly or monthly, either in arrears or in advance. The platform fee covers access to account data, performance reporting, and other services.
Location
101 South 7th Street, Louisville, KY, 40202
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2011Customer Dispute
October 2010Other Business Activities
Nicholas is the treasurer for The Academy of St Andrews, overseeing financial activity and chairing the finance committee, dedicating a few hours per week. He also works as a mortgage broker for Swan Financial, spending a few hours per week helping individuals save money on mortgage rates, and has an ownership stake in Biotap Medical, reviewing financials and dedicating minimal time.
Employment History
Current Registrations
Silver Oak Securities, INC.
Previous Registrations
Seacrest Wealth Management, LLC
J.J.B. Hilliard, W.L. Lyons, LLC
UBS Financial Services INC.
State Registrations1 state
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.