Nicholas Cavallo
Nicholas Cavallo is a registered investment advisor at Financial Management Network INC, based in Mission Viejo, CA, with 6 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 1,528 clients with $2.1B 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 $500K | 0.90% |
| $500K - $1.0M | 0.80% |
| $1M+ | 0.70% |
Rates apply to standard management accounts opened after July 1, 2002. Complex portfolios opened after September 30, 2011 are charged between 0.60% and 1.25%. Accounts over $3,000,000 are negotiable. Clients also pay a first-year start-up fee equal to two times the annual management fee.
Fee Estimator
Location
26041 Acero, Mission Viejo, CA, 92691
Get directionsHistory
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
Nicholas is a registered representative with FMN Insurance and is licensed to sell life, health, and variable insurance in California. He is also the owner of NJC Financial, an S Corp in California, which is not investment related.
Employment History
Current Registrations
Financial Management Network INC
Fmn Capital CorporationBroker
State Registrations11 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
More Advisors
- Curtis Farrell, CFPFinancial Management Network INC
- Kevin DargerFinancial Management Network INC
- Joshua Valdivia, CFPFinancial Management Network INC
- Matthew Conner, CFPFinancial Management Network INC
- Jeffrey HoltFinancial Management Network INC
- Matthew Jordan, CFPFinancial Management Network INC