Carol Ochoa is a registered investment advisor at Prosperity Capital Advisors, based in Pleasanton, CA, with 17 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 7,096 clients with $3.7B 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 | 0.60% |
| $500K - $1000K | 0.50% |
| $1.0M - $2.0M | 0.40% |
| $2.0M - $5.0M | 0.35% |
| $5M+ | 0.30% |
The platform fee tier schedule is based on billable assets and excludes non-billable assets such as unmanaged accounts. The total annual fee for investment management services for retail clients typically varies between 0.20% and 2.0% depending upon several factors, including the market value of the assets under management and the types of services to be rendered. PCA charges a $150.00 minimum annual investment management fee which may result in a fee greater than 2.0%.
Fee Estimator
Location
5870 Stoneridge Mall Road, Suite 202, Pleasanton, CA, 94588
Get directionsHistory
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
Carol is a licensed insurance agent doing business under Your Secure Retirement, Inc., offering various insurance products and dedicating about a quarter of her time to this. She also owns rental property, is the Chapter President of Foundation for Fiduciary Education Inc., and owns Your Secure Retirement Capital Management, LLC and Your Secure Retirement, Inc., spending minimal time on the former and full-time on the latter.
Employment History
Current Registrations
Prosperity Capital Advisors
Previous Registrations
Your Secure Retirement Capital Management, LLC
Alphastar Capital Management, LLC
Brookstone Capital Management LLC
State Registrations3 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.