Carlos Alvarado
Carlos Alvarado is a registered investment advisor at Herbert J. Sims Capital Management, INC., based in Orlando, FL, with 41 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning. Their firm serves 221 clients with $190M 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 | 2.50% |
| $500K - $1.0M | 2.00% |
| $1.0M - $2.5M | 1.75% |
| $2.5M - $5.0M | 1.50% |
| $5M+ | 1.25% |
Advisory fees are subject to negotiation and typically range from 1.25% to 2.50% of the initial value of the assets in the account per year, depending on the size of the account or household and services covered. Envestnet charges a flat annual operational fee of $25 based on services provided.
Fee Estimator
Location
Orlando, FL
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Regulatory History (30)
Customer Dispute
November 2020Customer Dispute
August 2019Customer Dispute
June 2019Customer Dispute
May 2019Customer Dispute
April 2019Customer Dispute
April 2019Customer Dispute
April 2019Customer Dispute
March 2019Customer Dispute
October 2018Customer Dispute
September 2018Customer Dispute
August 2018Customer Dispute
August 2018Customer Dispute
July 2018Customer Dispute
July 2018Customer Dispute
May 2018Customer Dispute
February 2018Customer Dispute
January 2018Customer Dispute
December 2017Customer Dispute
August 2017Customer Dispute
May 2017Customer Dispute
November 2016Customer Dispute
June 2016Customer Dispute
April 2016Customer Dispute
April 2016Customer Dispute
November 2015Customer Dispute
May 2015Customer Dispute
November 2014Customer Dispute
May 2014Customer Dispute
December 2013Customer Dispute
May 2013Other Business ActivitiesSells Insurance
Carlos is an investment adviser representative of HJ Sims Capital Management, dedicating about 20% of his time to this role. He also spends about 10% of his time on insurance activities, while his primary business involves providing brokerage services.
Employment History
Current Registrations
Herbert J. Sims Capital Management, INC.
Herbert J. Sims & CO, INC.
Herbert J. Sims & CO, INC.Broker
Previous Registrations
Santander Securities
Santander Securities LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations6 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.