Louis Lo
Louis Lo is a registered investment advisor at Sws Advisors, INC., based in Columbus, OH, with 39 years of industry experience. Louis operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 450 clients with $51M 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 $250K | 2.00% |
| $250K - $500K | 1.75% |
| $500K - $750K | 1.50% |
| $750K - $1.0M | 1.25% |
| $1M+ | 1.00% |
Fees are lower for variable annuities.
Fee Estimator
Location
1900 Polaris Parkway, Suite 450, Columbus, OH, 43240
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
September 2020Regulatory
November 1996Other Business ActivitiesSells Insurance
Louis owns a rental property and spends a few hours per week managing it. He also does part-time tax preparation and is a licensed insurance agent, occasionally offering clients advice or products related to insurance.
Employment History
Current Registrations
Omni Financial Securities, INC.Broker
Sws Advisors, INC.
Previous Registrations
Cetera Advisors LLC
Cetera Advisors LLCBroker
Shepard & Vrbanac Securities, INC.
Xtent Financial Group, INC.Broker
Wrp Investments, INC.
Wrp Investments, INC.Broker
Pruco Securities CorporationBroker
State Registrations2 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.