Lucy Kwok
Lucy Kwok is a registered investment advisor at Transamerica Financial Advisors, LLC, based in San Mateo, CA, with 8 years of industry experience. Lucy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,440 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Transamerica Financial Advisors (TFA) offers several investment management programs, including:
- Third-Party Money Management Programs: TFA Advisors can connect you with third-party money managers (TPMMs) who manage model portfolios. Fees are specific to the TPMM you select.
- Transamerica® ONE Wealth Management Platform: This is a wrap fee program with a single fee for services. The total annual program fee does not exceed 2.0%.
- Transamerica® ALPHA Digital Investment Program: This program uses Betterment's platform. The total annual advisory fee ranges from 0.65% to 0.95%.
- TFA365 Advisory Program: This is a wrap fee program. The total annual program fee does not exceed 2.75%. A minimum annual account fee applies to accounts that fall below the program account minimum. For the Strategist Program and the Unified Managed Account Program, the minimum annual account fee is $35 (account minimum: $25,000). For the Separately Managed Account Program, the minimum annual account fee is $150 (account minimum: $100,000).
Location
1810 Gateway Dr, Suite 238, San Mateo, CA, 94404
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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
Lucy sells insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors, Inc. She also works as a daycare provider, dedicating full-time hours to early childhood education.
Employment History
Current Registrations
Transamerica Financial Advisors, LLC
Transamerica Financial Advisors, LLCBroker
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.