Richard Mock is a registered investment advisor at Pennfield Capital CORP, based in South Bend, IN, with 23 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 154 clients with $77M 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 $250K | 2.25% |
| $250K - $500K | 1.40% |
| $500K - $1.0M | 0.90% |
| $1.0M - $2.5M | 0.70% |
| $2.5M+ | 1.00% |
The minimum annual fee for services will be 1.0%.
Fee Estimator
Location
205 West Jefferson Blvd. - Suite 400, South Bend, IN, 46601
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 →Employment History
Current Registrations
Pennfield Capital CORP
Previous Registrations
Pennfield Capital CORP
Pennfield Capital CORP
Taylor House Investment Management, INC.
State Registrations2 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.