UP
UP

Umberto Perez

25 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningInsurance Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
11 advisors
Number of Clients
495 clients
Average Client Portfolio
$669K average
Assets Under Management
$331.2M

Fee Structure

AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K1.75%
$500K - $1.0M1.50%
$1.0M - $5.0M1.25%
$5.0M - $10.0M0.50%
$10M+0.50%

Fees negotiable for amounts over $10,000,001.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

8111 Preston Road, Suite 500, Dallas, TX, 75225

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Umberto is a principal at Castleview Partners, providing advisory services, and spends about half his time there. He is also president of Fixed Insurance and UP Capital Management LLC, dedicating about 40% of his time to each, and owns real estate, spending minimal time managing properties and collecting rent.

Employment History
Current Registrations
Kovack Securities INC.Broker
February 2016 - Present · 10 yrs
Castleview Partners, LLC
November 2015 - Present · 10 yrs 3 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
March 2014 - February 2016 · 1 yr 11 mos
Global Wealth Advisors
March 2009 - December 2010 · 1 yr 9 mos
Argentus Advisors, LLC
January 2006 - April 2016 · 10 yrs 3 mos
Argentus Securities, LLCBroker
January 2006 - February 2014 · 8 yrs 1 mo
Park Avenue Securities LLC
July 2004 - January 2006 · 1 yr 6 mos
Park Avenue Securities LLCBroker
September 2003 - January 2006 · 2 yrs 4 mos
MML Investors Services, INC.
February 2003 - September 2003 · 7 mos
MML Investors Services, INC.Broker
March 2000 - September 2003 · 3 yrs 6 mos
State Registrations10 states
ARCOFLIAILNCOKSCTXVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Umberto Perez - Financial Advisor | TrueAdvisor