Luis Pena
Luis Pena is a registered investment advisor at Thrivent Investment Management INC., based in Miami, FL, with 11 years of industry experience. Luis is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 125,754 clients with $21B 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 $100K | 2.00% |
| $100K - $250K | 1.85% |
| $250K - $500K | 1.70% |
| $500K - $1.0M | 1.55% |
| $1.0M - $3.0M | 1.45% |
| $3.0M - $5.0M | 1.25% |
| $5.0M - $10.0M | 1.00% |
| $10M+ | 0.90% |
Fees are maximum annual percentages and vary by program type, household assets, and negotiation. Separately managed account programs have higher maximum fees (up to 2.50% for smaller accounts).
Fee Estimator
Location
Miami, FL
Get directionsHistory
Regulatory History (1)
Financial
May 2025Employment History
Current Registrations
Thrivent Investment Management INC.
Thrivent Investment Management INC.Broker
Thrivent Investment Management INC.
Previous Registrations
Strategic Advisers LLC
Fidelity Personal and Workplace Advisors
Fidelity Brokerage Services LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
State Registrations51 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.
Exams
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