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Thomas Vann is a registered investment advisor at Vann Investments LLC, based in Castle Rock, CO, with 49 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 48 clients with $14M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
48 clients
Average Client Portfolio
$290K average
Assets Under Management
$13.9M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 3.00% |
Vann Investments does not charge fees for accounts with balances below $1,000 or 100% cash positions.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Castle Rock, CO
Get directionsHistory
Regulatory History (2)
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Customer Dispute
September 1990Settled
Customer Dispute
June 1990Award / Judgment
Employment History
Current Registrations
Vann Investments LLC
January 1999 - Present · 27 yrs 4 mos
Previous Registrations
Royal Alliance Associates, INC.
January 1999 - October 2003 · 4 yrs 9 mos
Royal Alliance Associates, INC.Broker
August 1991 - October 2003 · 12 yrs 2 mos
Jesup, Josephthal & CO., INC.Broker
January 1990 - July 1991 · 1 yr 6 mos
Hanifen, Imhoff Securities CORP.Broker
July 1989 - February 1990 · 7 mos
Prudential-Bache Securities INC.Broker
June 1987 - July 1989 · 2 yrs 1 mo
Paine, Webber, Jackson & Curtis INC.Broker
August 1980 - December 1983 · 3 yrs 4 mos
Painewebber IncorporatedBroker
July 1980 - June 1987 · 6 yrs 11 mos
E. F. Hutton & Company INCBroker
December 1976 - August 1980 · 3 yrs 8 mos
State Registrations1 state
CO
Advisor
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
No exam information available for this advisor.