Anthony Caruso
Anthony Caruso is a registered investment advisor at Caruso Family Financial Advisors (cffa) LLC, based in San Jose, CA, with 13 years of industry experience. Anthony operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 50 clients with $15M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fees are negotiable. Qualified clients pay an annual fee of 2.00% of assets under management along with a 20.00% performance fee based on capital appreciation above an 8% annual hurdle rate.
Fee Estimator
Location
6525 Crown Blvd. # 20775, San Jose, CA, 95160
Get directionsHistory
Regulatory History (3)
Judgment / Lien
March 2024Employment Separation After Allegations
December 2016Civil Bond
September 2011Other Business Activities
Anthony is the CEO and CCO of Caruso Family Financial Advisors, LLC, a registered investment advisory firm, since 2019.
Employment History
Current Registrations
Caruso Family Financial Advisors (cffa) LLC
Previous Registrations
Lightpath Capital, INCBroker
Whitehall-Parker Securities, INC
Whitehall-Parker Securities, INC.Broker
Taylor Advisory Group
One Source Health & Wealth Management
Purshe Kaplan Sterling InvestmentsBroker
Silicon Private Wealth, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.