Alfred Au (CRD# 6213875) is an Investment Advisor Representative working at Compass Capital Management Group LLC in San Mateo, CA and has over 6 years of experience in the finance industry.
CRD# 1351279
Lpl Financial LLC
CRD# 6828753
Fidelity Personal And Workplace Advisors
CRD# 2183126
Lpl Financial LLC
Company Name | Location | Dates | Years |
---|---|---|---|
Diversifi Capital Llc (formerly Compass Capital Management) | San Francisco, CA | Jun 2018 - Current | 5 |
Dragon Global Services, LLC | San Mateo, CA | May 2015 - Jun 2018 | 3 |
Dragon Financial And Investment Group, LLC | San Mateo, CA | Feb 2013 - Jun 2018 | 5 |
Exam Code | Name | Passed Date |
---|---|---|
S65 | NASAA Investment Advisors Law Examination | Feb 2014 |
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Total Assets Under Management288MILLIONS
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Total Number of Accounts698ACCOUNTS
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Average Account Value$412,047
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
CA, CO, DC, NH, NY, OR, TX, VA, WA
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