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Individual Information
Registration:
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Employer:
Years Experience:
4
Office Location:
Primary Office City:
Certifications:
Exams Passed:
Registered in:
Previous Employers:
Potential Red Flags
Regulatory Actions?
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---
Previously bankrupt?
Outstanding bonds?
---
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Previously investigated?
Employer terminations?
---
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Criminal Record?
Civil record?
---
Regulatory judgements?
---
Customer complaints?
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Overview
Disciplinary Actions?
No
Years Experience:
4
# of Clients:
60
% Focus on Individuals:
100%
Advisor Scorecard
Assets Managed
$4,332,177
Industry Average
Smaller Firm
Bigger Firm
Average Client Investment
$72,203
Industry Average
More Open
Very Exclusive
Clients Per Advisory Emloyee
60
Industry Average
Personal Advice
Automated Advice
About
Firm Description
Company Information
Main Office Location:
Total Number of Offices:
Total Employees:
N/A, N/A
2
1
Employee and Contractor Breakdown
Firm's Other Business Activities:
Firm Services:
Total Number of Clients:
60
Client Breakdown
Fund Info & Performance
Fee Options:
Investing Specialties:
Advisor Fund(s) vs. S&P 500
Fund Description
Fund Fee Description
Cumulative Returns Benchmarks
Disciplinary Actions (Red Flags):
Any disciplinary activity?
Convicted of felony?
No
No
Charged with felony?
No
Securities related misdemeanors?
No
Charged misdemeanors?
No
No
SEC false statements?
No
SEC denials, suspensions?
No
Ordered issued by SEC?
No
Civil money penalty?
Other false statements?
No
Other regulations violations?
No
No
Other denials, suspensions, etc?
Other orders issued by SEC?
No
Other denials, suspensions, etc?
No
No
SRO false statements?
SRO regulations violations?
SRO denials, suspensions, etc?
No
No
SRO disciplinary actions?
No
No
Revocation of a contractor?
No
Under criminal proceeding?
No
Any civil enjoinment?
No
Any civil violations?
No
Any civil dismissials?
No
Under civil proceeding?
Reviews of:
The Topgallant Group, Llc
5.0
0 reviews
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Sept. 23, 2023 at 11am
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