Wingate Wealth Advisors, registered in 1987, is a Registered Investment Advisor (RIA) in 12 state(s) with a licensed staff of 13 advisors. Wingate Wealth Advisors manages $919.9 million and provides investment advisory services for 643 clients (1:50 advisor/client ratio).
As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Wingate Wealth Advisors 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||21|
|Minimum Investment||No data|
|Average Client Balance||$1,430,638|
|Total AUM||$919.9 million|
|Investment-Related Prohibition - Court||No|
|Advisor / Client Ratio||1:50|
|Languages Offered||Ask firm|
|Phone Number||Not available|
|SEC Filings||View SEC IAPD CRD #105012|
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 Wingate Wealth Advisors:
|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. Reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation") is another option, albeit more time-intensive and nuanced (trust us, we have read thousands).
Firm has not provided fee details summary.
|12B-1 Fees||No data|
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Trades Recommended Securities||No|
Firm has not provided this information.
Wingate Wealth Advisors is headquartered in Lexington, MA. Wingate Wealth Advisors offers financial advisor services in 12 states: California, Connecticut, Florida, Maine, Maryland, Massachusetts, New Hampshire, New York, North Carolina, Rhode Island, Texas, Vermont.
While Wingate Wealth Advisors advises clients across a variety of portfolio sizes, the average client balance is currently $1,430,638. In total, Wingate Wealth Advisors manages $919,900,609 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 July 4th, 2020*. For data support, email "email@example.com". Views: 62 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.