Client One Securities LLC is a large advisory firm based in Leawood. It manages $860.37 million of regulatory assets for 9,166 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.
Client One Securities provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Client One Securities LLC is $860.37 million. The firm's AUM has grown by 1058% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Client One Securities LLC for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Michael Richard Tripses is high net worth individuals with 1,643 clients and $442.25 million of assets under management. Among the 11 most similar advisory firms, Client One Securities has the 4th highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $860.37 million for 9,156 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Client One Securities doesn't advise any private funds.
The company employs 107 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 107 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Michael Richard Tripses has been acting as President since 1 Dec 2009. Jeffrey Neal Eisenhauer joined the executive team most recently as the Interm President And Ceo, Cco.
The principal office where Client One Securities LLC performs its advisory services is located at 11460 Tomahawk Creek Parkway, Leawood, KS 66211, which is also the mailing address of the firm. An additional office of the firm is in Picayune, MS. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 913-814-6097 or by fax 913-273-1453. The normal business hours are fri 8am-4pm on Other. You can find more information about the New York firm at client1securities.com.