Oswaldo Gutierrez-Holden
Oswaldo Gutierrez-Holden is a registered investment advisor at State Farm Investment Management CORP., based in Knoxville, TN, with 1 years of industry experience. Oswaldo operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 3,575 clients with $13B 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 $100K | 1.25% |
| $100K - $500K | 1.00% |
| $500K - $1000K | 0.75% |
| $1M+ | 0.50% |
Accounts advised for a full quarter that have an average daily market value below $15,000 are charged a minimum quarterly Advisory Fee of $45 (except as set forth below under “Fee Reductions”). For Accounts that qualify for a reduced Advisory Fee to the lowest Advisory Fee shown on the chart, such Accounts advised for a full quarter that have an average daily market value below $15,000 are charged a minimum quarterly Advisory Fee of $18.75.
Fee Estimator
Location
3411 N Broadway St, Knoxville, TN, 37917-2738
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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
Oswaldo works as an agent team member for Dan Lewis' Insurance Agency, representing State Farm and its affiliates, since June 2023. This activity takes about half of his time and involves servicing customers.
Employment History
Current Registrations
State Farm Investment Management CORP.
State Farm Vp Management CORP.Broker
State Farm Vp Management CORP.
State Registrations4 states
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