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JW
CFP
JW
CFP

Joseph Wallace

Wallace Advisory Group, LLC
13 Years of Experience
Lafayette, CA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Joseph Wallace is a CFP-designated registered investment advisor at Wallace Advisory Group, LLC, based in Lafayette, CA, with 13 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, High Net Worth, and 5 more. Their firm serves 87 clients with $270M in assets under management.

Wallace Advisory Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
87 clients
Average Client Portfolio
$3.1M average
Assets Under Management
$269.5M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Maximum annual fee will not exceed 1.50%. Fees are negotiable and billed quarterly in arrears.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3658 Mount Diablo Boulevard, Suite 225, Lafayette, CA, 94549

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

Joseph is a registered representative with M Holdings Securities, providing investment advice, and a principal at Wallace Advisory Group, LLC, offering financial planning, investment advisory services, and life insurance sales. He also serves as principal at Wallace Financial & Insurance Solutions, focusing on life insurance sales, and as a trustee for the Wallace Advisory Group LLC 401(k) Savings Plan.

Employment History
Current Registrations
M Holdings Securities, INC.Broker
October 2015 - Present · 11 yrs
Wallace Advisory Group, LLC
October 2015 - Present · 11 yrs
Previous Registrations
Eagle Strategies LLC
May 2013 - October 2015 · 2 yrs 5 mos
Nylife Securities LLCBroker
February 2013 - October 2015 · 2 yrs 8 mos
State Registrations11 states
AZCADEHINCNVNYORTXUTWA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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