Alan Niemann
Alan Niemann is a ChFC-designated registered investment advisor at Adaptation Financial Advisors INC., based in Houston, TX, with 41 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 674 clients with $220M 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 | 1.75% |
| $500K - $750K | 1.50% |
| $750K - $1.0M | 1.25% |
| $1.0M - $2.0M | 1.00% |
| $2.0M - $3.0M | 0.85% |
| $3.0M - $4.0M | 0.60% |
| $4M+ | 0.60% |
All fees are subject to negotiation.
Fee Estimator
Location
1912 Branard St., Houston, TX, 77098
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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
Alan is involved in several business activities, including horse and cattle breeding, real estate, and insurance. He dedicates a significant amount of time to Adaptation Financial as an independent insurance agent and IAR, and also owns a share of Diversified Insurance Brokerage Associates, LLC.
Employment History
Current Registrations
Adaptation Financial Advisors INC.
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
Royal Alliance Associates, INC.Broker
Royal Alliance Associates, INC.
Signator Investors, INC.
Signator Investors, INC.Broker
Mony Securities CorporationBroker
State Registrations25 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.