Simon Wheatley is a CFP-designated registered investment advisor at Trek Financial, based in Santa Rosa, CA, with 13 years of industry experience. Simon operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 5,035 clients with $2.5B 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 | 1.50% |
| $250K - $500K | 1.50% |
| $500K - $1.0M | 1.50% |
| $1.0M - $2.5M | 1.25% |
| $2.5M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.85% |
| $10M+ | 0.70% |
Fees may be subject to negotiation depending upon unique circumstances. Fees assessed on different assets in a portfolio may vary, depending on restrictions and complexity of management. In addition to the advisory fee, a platform fee is charged. Third-party managers and sub-advisors will charge an additional fee.
Fee Estimator
Location
Santa Rosa, CA
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Simon is an agent selling insurance through Innovative Retirement and Insurance Services, Inc. This activity takes about 10-20% of his time.
Employment History
Current Registrations
Trek Financial
Previous Registrations
World Equity Group, INC.Broker
Fsc Securities CorporationBroker
Innovative Retirement Advisors, LLC
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.