Thanh Tran is a registered investment advisor at J.P. Morgan Securities LLC, based in New Haven, CT, with 12 years of industry experience. Thanh operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 1,055,400 clients with $350B 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 $250K | 1.45% |
| $250K - $500K | 1.30% |
| $500K - $1000K | 1.15% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.75% |
| $5.0M - $10.0M | 0.65% |
| $10.0M - $15.0M | 0.55% |
| $15.0M - $25.0M | 0.50% |
| $25.0M - $50.0M | 0.40% |
| $50M+ | 0.30% |
The Advisory Fee rate for assets invested in the Fixed Income Advisory Program (FIAP) is 0.70%. The Advisory Fee rate for assets invested in the Liquidity Management Strategy (LMS) is 0.40%. Effective November 10, 2025 the Advisory Fee rate for new LMS investors and LMS proposals dated on or after November 10, 2025 will be 0.60%.
Fee Estimator
Location
234 Church Street, New Haven, CT, 06510
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Previous Registrations
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Prudential Annuities Distributors, INCBroker
Ast Investment Services, INC.
Andrew Garrett, INC.
Andrew Garrett INC.Broker
State Registrations3 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.