Carlos Lopez is a registered investment advisor at Simplicity Wealth, based in Summit, NJ, with 7 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning. Their firm serves 5,619 clients with $3.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Simplicity Wealth's fees are based on a percentage of your assets under management, ranging from 0.10% to 2.00%. The specific fee depends on the services selected by your advisor. The fees cover investment management, research, monitoring, and other operational services. Additional fees may include model manager fees, custodial fees, and transaction fees. Simplicity Wealth also offers proprietary model portfolios.
Location
475 Springfield Ave., Suite #1, Summit, NJ, 07901
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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
Carlos works as an insurance agent selling annuities and life insurance since 2000. This takes about a quarter of his time, with minimal time spent during securities trading hours.
Employment History
Current Registrations
Simplicity Wealth
Previous Registrations
Money Concepts Advisory Service
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.