Wales Investments Inc (San Jose)

Name: Wales Investments Inc
Address: 2055 Junction Ave Suite 100, San Jose, CA, 95131
Telephone: 408-944-9176

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.

Wales Investments: assets under management

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 firm manages $35.56 million in discretionary accounts and $3.63 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $94.81 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $519.23 thousand.

Fees & Commissions

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. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Wales Investments Inc

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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Sandra Louise Wales	President	1 Apr 2002	75% - 100%	4065884
Margaret Melissa Stephan	Chief compliance officer	1 Apr 2007	Other	4057895
Sandra Louise Wales	Chief compliance officer	1 May 2009	75% - 100%	4065884

Based in San Jose

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.