Katie Exchange is a CFP-designated registered investment advisor at Captrust, based in Portland, ME, with 6 years of industry experience. Katie operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 41,750 clients with $1200B 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 $1.0M | 1.25% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $5.0M | 0.85% |
| $5M+ | 0.70% |
Fees are negotiable and may be higher, lower, or waived based on account size, investment approach, complexity, and relationship duration. Assets above $10M are negotiable.
Fee Estimator
Location
100 Commercial Street, Suite 200, Portland, ME, 04101
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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 Activities
Katie is an assistant at Exchange Custom Homes, LLC, a home builder, and spends about 10% of her time on interior design and business planning. She also owns a vacation rental property, a holding company for personal property, rental property, and is the treasurer for a homeowners association.
Employment History
Current Registrations
Captrust
Previous Registrations
Boston Financial Management LLC
State Registrations2 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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