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Avivar Capital Review

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Avivar Capital, registered in 2015, is a Registered Investment Advisor (RIA) in 1 state(s) with a licensed staff of 3 advisors. Avivar Capital manages $222.5 million and provides investment advisory services for 17 clients (1:6 advisor/client ratio).



Disciplinary Questions


After checking the disciplinary records of Avivar Capital, our system found no disciplinary questions to ask. Checks take place monthly.


Conflict Questions


After checking the regulatory records of Avivar Capital, our system has identified the following question(s) to ask. Learn more.

announcement Do you offer mutual funds that have 12b-1 fees?

Why ask? 12b-1 fees increase the total annual cost of owning a mutual fund with no guarantee of higher returns. Some firms receive these fees as payments, which creates an incentive to promote them.

announcement Do you practice as a law firm? Are you affiliated with one?

Why ask? This firm or an affiliate actively engages in business as a law firm or lawyer. When operating in this dual-capacity, advisors may be incentivized to implement plans as an attorney that could drive higher revenue for themselves as investment advisors.

Our system found no other conflict questions to ask. Checks take place monthly.



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Firm Information


As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Avivar Capital can provide a variety of financial planning services for Americans. The goal of a financial advisor is to review your personal finances and work with you to achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan. Financial advisors focus primarily on money management, including investments like stocks, ETFs, and mutual funds.

Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.

Summary Firm
Advisors Directory View Directory
Avg Advisor Years Registered 5
Minimum Investment Ask firm
Average Client Balance $13,088,235
Total AUM $222.5 million
Investment-Related Prohibition - Court No
Advisor / Client Ratio 1:6
Website Visit Site
Phone Number 818-681-6833
Headquarters Los Angeles, CA
SEC Filings View SEC IAPD CRD #215516



Disciplinary History


An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.

As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for Avivar Capital:




Cost


Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.

Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").



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This automated report was generated using SEC and FINRA data and was last updated on August 12th, 2020*. For data support, email "support@investor.com". Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.


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