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Carlos Prince

Legacy Edge Advisors
18 Years of Experience
Conshohocken, PA
2 Disclosures
View SEC Summary
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Carlos Prince is a registered investment advisor at Legacy Edge Advisors, based in Conshohocken, PA, with 18 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 6 more. Their firm serves 532 clients with $1.2B in assets under management.

Legacy Edge Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
19 advisors
Number of Clients
532 clients
Average Client Portfolio
$2.3M average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Annual fee ranges up to 2.50% of assets under management. Fees are generally negotiable and may be charged as a single rate or tiered rate.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Four Tower Bridge, 200 Barr Harbor Dr #400, Conshohocken, PA, 19428

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
May 2003
Final Disposition
Criminal
August 2002
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Legacy Edge Advisors
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2021 - May 2025 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2021 - May 2025 · 3 yrs 6 mos
Advice and Planning Services
April 2012 - November 2021 · 9 yrs 7 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
April 2012 - November 2021 · 9 yrs 7 mos
Efc Financial Services, LLC
February 2012 - March 2012 · 1 mo
Efc Financial Services, LLCBroker
January 2012 - March 2012 · 2 mos
TD Ameritrade, INC.
January 2010 - January 2012 · 2 yrs
Amerivest Investment Management, LLC
January 2010 - January 2012 · 2 yrs
TD Ameritrade, INC.Broker
January 2010 - January 2012 · 2 yrs
Strategic Advisers, INC.
December 2008 - January 2010 · 1 yr 1 mo
Fidelity Brokerage Services LLCBroker
October 2007 - January 2010 · 2 yrs 3 mos
State Registrations1 state
PA
Advisor

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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