Retegy LLC

CRD#294291
Investment Advisor Firm

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Overview

Retegy LLC is a financial advisory company located in Irvine, California. It has $2.9 million in assets over seven client accounts. The company has a small group of one employee who is a financial advisor. Retegy LLC does not act as a registered broker-dealer, signifying that it cannot buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer firm to do so. Securities are tradable fiscal investments such as options, bonds and stocks.

Retegy LLC manages all of the firm's client assets on a discretionary basis. Discretionary management means that an investment advisor has the discretion to make transaction decisions without needing the client's consent. The company manages roughly $407,395 for each customer account. $2,500,001 to $5,000,000 of their investments for financial planning services were in securities, with under $100,000 placed in non-securities. An average financial advisor at Retegy LLC oversees about seven client accounts, placing it among the more personalized firms in the country.

The firm's main office is at 200 Spectrum Center Dr., Irvine, California 92618. The company is registered to provide services to clients in the state of California.

Assets Under Management

$2.9 million

Number of Advisors

1

Disclosures

No

Office Location

200 Spectrum Center Dr.
Irvine, CA 92618

Retegy LLC by the Numbers

Total Assets Under Management

$2.9 million

National Average: $3.7 billion
Total Number of Employees

1

National Average: 29
Total Number of Accounts

7

National Average: 2,073
Average Account Size

$407.4 thousand

National Average: $1.8 million

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Products and Services

Retegy LLC provides multiple financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. In the past fiscal year, the firm provided 1-10 of its accounts with financial planning services. The company is not engaged in selling products or offering services apart from investment advice to its investment advisory accounts.

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

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 10% of firms

    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Fees charged by financial advisors largely are based on the type of financial services offered. Fee types billed by the firm may include any combination of the following fee structures: asset-based, hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company. Retegy LLC can withdraw its expenses directly from customer funds.

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

Retegy LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Retegy LLC

Vladimir Kouznetsov
Irvine, CA

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This content was compiled from the SEC and FINRA