Kenneth E Charlton

CRD#133080
Investment Advisor Firm

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Overview

Kenneth E Charlton operates as a financial advisory company that has its headquarters in Irvine, California. Kenneth E Charlton has $909.0 thousand in total assets over two customer accounts. It has a small group of one employee who is a financial advisor. Kenneth E Charlton is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer firm to do so. Securities are exchangable fiscal investments such as bonds, stocks and options.

Kenneth E Charlton oversees none of the firm's accounts in a discretionary manner. Discretionary management means that a portfolio manager has the discretion to make transaction choices without requiring the customer's consent. It also administers two non-discretionary accounts totaling $909,000 in AUM. The firm oversees about $454,500 for each client account. 46000000 of its investments for financial planning services were in securities, with $500,001 to $1,000,000 invested in non-securities. The average advisor at Kenneth E Charlton oversees around two client accounts, placing it among the most personalized advisor firms in the country.

Kenneth E Charlton's main office is at 4199 Campus Drive Suite 550, Irvine, California 92612. The company is legally registered to serve customers in the state of California.

Assets Under Management

$909.0 thousand

Number of Advisors

1

Disclosures

No

Office Location

4199 Campus Drive Suite 550
Irvine, CA 92612

Kenneth E Charlton by the Numbers

Total Assets Under Management

$909.0 thousand

National Average: $3.7 billion
Total Number of Employees

1

National Average: 29
Total Number of Accounts

2

National Average: 2,073
Average Account Size

$454.5 thousand

National Average: $1.8 million

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Products and Services

Services provided by Kenneth E Charlton include financial planning services and portfolio management for individuals and small businesses. In the prior financial year, the company provided financial planning services to 26-50 of its clients. The firm does sell products or offer services aside from investment advice to its customers.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Fees for financial management typically are based on which service is provided. However, fee types charged by the firm can include any blend of the following fee structures: asset-based, hourly or fixed. The firm does not participate in a wrap fee program, in which the company offers a service bundle for a single fee.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Disclosures

Kenneth E Charlton does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Kenneth E Charlton

Kenneth Charlton
Irvine, CA

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This content was compiled from the SEC and FINRA