Callan, registered in 1973, is a Registered Investment Advisor (RIA) in 34 state(s) with a licensed staff of 159 advisors. Callan manages $27.4 billion and provides investment advisory services for 621 clients (1:4 advisor/client ratio).
After checking the disciplinary records of Callan, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Callan, our system found no conflict questions to ask. Checks take place monthly.
As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Callan 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.
|Minimum Investment||Ask firm|
|Average Client Balance||$44,052,780|
|Total AUM||$27.4 billion|
|Fee Range||Ask firm|
|Advisor / Client Ratio||1:4|
|Headquarters||San Francisco, CA|
|Facebook page unknown|
|LinkedIn page unknown|
|SEC Filings||View SEC IAPD CRD #107687|
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 Callan:
|Activity Restriction – SRO||No|
|Attorney/Accountant Authorization Revocation – SRO||No|
|Business License Revocation – SRO||No|
|Business License Revocation - SEC/CFTC||No|
|Business License Revocation - Other Regulatory Agencies||No|
|Dismissal upon Settlement – Court||No|
|Investment-Related Prohibition - Court||No|
|False Statements or Omissions – SRO||No|
|False Statements or Omissions - Other Regulatory Agencies||No|
|False Statements or Omissions - SEC/CFTC||No|
|Monetary Penalty - SEC/CFTC||No|
|Order Entered - SEC/CFTC||No|
|Order Entered - Other Regulatory Agencies||No|
|Regulation Violations - SEC/CFTC||No|
|Regulation Violations - Other Regulatory Agencies||No|
|Regulation Violations – SRO||No|
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").
|12B-1 Conflict||Ask firm|
|Performance-Based Fees||Ask firm|
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Side-by-Side Management||Ask firm|
|Trades Recommended Securities||No|
Callan is headquartered in San Francisco, CA. Callan offers financial advisor services in 34 states: Alaska, Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Tennessee, Texas, Vermont, Virginia, Washington, Wisconsin.
While Callan advises clients across a variety of portfolio sizes, the average client balance is currently $44,052,780. In total, Callan manages $27,356,776,628 in assets.
The SEC, nor FINRA, tracks portfolio performance metrics for the financial planning industry. As a result, unlike hedge funds, there is no historical performance for any financial advisory firm. Financial plans and investment portfolios are always unique to the client's personal financial situation.
investor.com relies on regulatory data from the SEC to rate and review financial advisor firms. As a result, we do not support personal reviews on the site. To file a complaint or dispute with this firm, please fill out the SEC Investor Complaint Form.
This automated report was generated using SEC and FINRA data and was last updated on October 4th, 2020*. For data support, email "email@example.com". Views: 82 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.