WY
WY

Wesley Mitsuo Yamada

14 Years of Experience
2 DisclosuresSells Insurance
Areas of Practice
Financial Planning & CoachingRetirement PlanningInvestment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
21 advisors
Number of Clients
1,289 clients
Average Client Portfolio
$791K average
Assets Under Management
$1.0B

Fee Structure

AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $250K1.45%
$250K - $500K1.35%
$500K - $1.0M1.25%
$1.0M - $2.5M1.15%
$2.5M+1.05%

Fees may be negotiable.

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

3003 Oak Road, Ste 250, Walnut Creek, CA, 94597

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
December 2012
Criminal
August 2004
Final Disposition
Other Business ActivitiesSells Insurance

Wesley is an individual life insurance agent with Mass Mutual since 2013, working from the same location as his advisory business. This activity takes a few hours per week.

Employment History
Current Registrations
Fountainhead Advisors
September 2018 - Present · 7 yrs 5 mos
Previous Registrations
MML Investors Services, LLC
May 2013 - September 2018 · 5 yrs 4 mos
MML Investors Services, LLCBroker
April 2013 - September 2018 · 5 yrs 5 mos
Unionbanc Investment Services, LLC
October 2012 - December 2012 · 2 mos
Unionbanc Investment Services, LLCBroker
August 2010 - December 2012 · 2 yrs 4 mos
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.
Wesley Mitsuo Yamada - Financial Advisor | TrueAdvisor