JW
JW
Joaquin Wallace is a registered investment advisor at Seven Stages Wealth LLC, based in Oakley, CA, with 10 years of industry experience. Joaquin operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, High Net Worth, Insurance Planning, and 2 more.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.00% |
| $1.0M - $3.0M | 0.85% |
| $3M+ | 0.65% |
Fees are negotiable at the sole discretion of Seven Stages Wealth. Total blended fees including independent managers will not exceed 3.00% annually.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
Oakley, CA
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
August 2018Final
Employment History
Current Registrations
Seven Stages Wealth LLC
August 2026 - Present · 2 mos
Previous Registrations
LPL Enterprise, LLC
November 2024 - September 2025 · 10 mos
LPL Enterprise, LLCBroker
November 2024 - September 2025 · 10 mos
Prudential Financial Planning Services
May 2019 - November 2024 · 5 yrs 6 mos
Pruco Securities, LLC.Broker
July 2017 - November 2024 · 7 yrs 4 mos
Hornor, Townsend & Kent, INC.Broker
October 2015 - June 2017 · 1 yr 8 mos
State Registrations1 state
CA
Advisor
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.