Richard Green is a registered investment advisor at Caitlin John, LLC, based in San Diego, CA, with 21 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 733 clients with $180M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Caitlin John offers investment management under either a wrap fee program (CJWFP) or a non-wrap fee arrangement. The wrap fee cannot exceed 2.48%, and the non-wrap fee cannot exceed 3.0%. Fees are negotiable and may be structured as tiered, tapered, or fixed. The fees cover advisory services, investment management oversight, administrative and custodial services, and may include the use of a third-party investment advisor.
Location
3665 Ruffin Rd, Ste 204, San Diego, CA, 92108
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Regulatory History (2)
Customer Dispute
July 2018Customer Dispute
June 2018Other Business ActivitiesSells Insurance
Richard is the CEO and co-owner of WMA Enterprises, an accounting firm, spending about 10-20% of his time on this activity. He also works as an independent insurance agent for Bastion Wealth Management, dedicating about 35-40% of his time to insurance product sales.
Employment History
Current Registrations
Caitlin John, LLC
Previous Registrations
Alpha Global Investments
Alpha Global Investments
Amerivest Investment Management, LLC
TD Ameritrade, INC.
Wm Financial Services, INC.
A. G. Edwards & Sons, INC.
State Registrations1 state
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.