Wales Investments Inc is a large advisory firm based in San Jose. It manages $39.19 million of regulatory assets for 382 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of California.
Wales Investments provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Wales Investments Inc is $39.19 million. The firm's AUM has grown by 55% 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 Wales Investments Inc for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. 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.
Sandra Louise Wales has been acting as President since 1 Apr 2002. Margaret Melissa Stephan joined the executive team most recently as the Chief Compliance Officer.
The principal office where Wales Investments Inc performs its advisory services is located at 2055 Junction Ave Suite 100, San Jose, CA 95131, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 408-944-9176 or by fax 408-944-9175. The normal business hours are 8:00a.m.-5:00p.m. on Monday - Friday. You can find more information about the New York firm at www.walesinvestments.com.