Elton Lai is a registered investment advisor at Schwab Wealth Advisory, INC., based in Lone Tree, CO, with 12 years of industry experience. Elton operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
SWAI does not directly charge clients for investment advice. Schwab pays SWAI a fee for the investment advice provided to SWA Accounts. SWAI Representatives provide periodic recommendations to clients about how to allocate assets and which securities to buy, sell and hold in a SWA account.
Location
9800 Schwab Way, Lone Tree, CO, 80124
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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.
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Elton is the owner of EC4Life LLC, a company developing a mobile wellness application using AI. He focuses on app design, content development, and overseeing technical implementation, dedicating about 10-20% of his time to this venture.
Employment History
Current Registrations
Schwab Wealth Advisory, INC.
Charles Schwab & CO., INC.Broker
Charles Schwab & CO., INC.
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Morgan Stanley
Morgan StanleyBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Integral Financial LLCBroker
First Command Financial Planning, INC.Broker
Scottrade, INC.Broker
State Registrations53 states
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