Brian Smalley
Brian Smalley is a registered investment advisor at Universal Wealth Management LLC, based in Sun City, AZ, with 16 years of industry experience. Brian operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 145 clients with $28M 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 $10.0M | 1.25% |
| $10M+ | 0.80% |
Advisory fee is negotiable, depending on individual client circumstances.
Fee Estimator
Location
13211 N 103rd Ave, Suite 4, Sun City, AZ, 85351
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Brian is a financial advisor at Triton Wealth Management, dedicating nearly full-time hours to this role. He also engages in fixed insurance sales, spending minimal time on this activity, and owns BC Enterprises LLC, a finish carpentry business, which takes up a significant amount of his time.
Employment History
Current Registrations
Universal Wealth Management LLC
Triton Wealth Management, PLLC
Previous Registrations
Leigh Baldwin & CO., LLCBroker
Kingsview Asset Management, LLC
Purshe Kaplan Sterling InvestmentsBroker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Edward Jones
Edward JonesBroker
State Registrations2 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.