Quan Le is a registered investment advisor at Rockside Investments LLC, based in Westminster, CA, with 4 years of industry experience. Quan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 15 clients with $15M 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 | 1.50% |
| $500K - $1.0M | 1.25% |
| $1M+ | 1.00% |
Asset-based fees are negotiable based upon certain criteria. Total fees to Client will never exceed the safe harbor threshold of 3% of assets under management per year. Rockside also offers four performance-based fee options: two highwater mark options and two benchmark options. These fees are only available to qualified clients.
Fee Estimator
Location
Westminster, CA
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Regulatory History (1)
Regulatory
April 2021Other Business Activities
Quan works in project management at Valero Energy Corporation since 1993. This non-investment related activity takes nearly full-time hours.
Employment History
Current Registrations
Rockside Investments 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.