Halbert Hargrove, registered in 1988, is a Registered Investment Advisor (RIA) in 16 state(s) with a licensed staff of 33 advisors. Halbert Hargrove manages $2.5 billion and provides investment advisory services for 1,190 clients (1:37 advisor/client ratio).
After checking the disciplinary records of Halbert Hargrove, our system found no disciplinary questions to ask. Checks take place monthly.
After checking the regulatory records of Halbert Hargrove, our system has identified the following question(s) to ask. Learn more.
Which securities do you trade for yourself that you will also be recommending to me?
Why ask? This firm has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.
Our system found no other conflict questions to ask. Checks take place monthly.
As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Halbert Hargrove 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.
|Advisors Directory||View Directory|
|Avg Advisor Years Registered||17|
|Average Client Balance||$2,133,947|
|Total AUM||$2.5 billion|
|Investment-Related Prohibition - Court||No|
|Advisor / Client Ratio||1:37|
|Languages Offered||Ask firm|
|Headquarters||Long Beach, CA|
|SEC Filings||View SEC IAPD CRD #105515|
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 Halbert Hargrove:
|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").
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Trades Recommended Securities||Yes|
Halbert Hargrove is headquartered in Long Beach, CA. Halbert Hargrove offers financial advisor services in 16 states: Arizona, California, Colorado, Florida, Hawaii, Idaho, Louisiana, Nevada, New Jersey, New Mexico, New York, Oregon, Texas, Utah, Virginia, Washington.
While Halbert Hargrove advises clients across a variety of portfolio sizes, the average client balance is currently $2,133,947. In total, Halbert Hargrove manages $2,539,396,972 in assets.
Fun Fact: No regulator currently tracks portfolio performance metrics for the financial planning industry. Remember, the financial plan your financial advisor creates with you will always be unique to your personal financial situation. That's the value of working with a financial advisor.
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 August 4th, 2020*. For data support, email "email@example.com". Views: 523 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.