550 Silver Spur Road
Rolling Hills Estates,
Frequently Asked Questions
We have launched our new independent planning and wealth management firm – Arise Private Wealth. Throughout this evolution, what remains constant is our mission: guiding our clients to reach an elevated perspective that’s abundant and purpose-driven so they can live a prosperous and fulfilled life.
Standing true to our core values, we decided to ascend collectively as a team for the benefit of our clients and remove any barriers to being the best stewards of your wealth. We decided it was time for our firm to move forward and ascend so we could create an even better ethos for our team and clients. Taking this leap forward we’re confident that our clients will reap an array of benefits that enhance their investment portfolios and elevate their experience as our client.
Just as we expect our clients to rely on us for guidance in their financial decisions, we’re able to rely on LPL for operational support. After conducting our due diligence, we found LPL Financial to not only be the best fit for our firm, but our new partner would also provide significant benefits to our clients. LPL Financial is the largest partner to independent advisors in the country, and their focus is keenly on innovation and operational support so firms like ours can become independent and succeed in the process.*
We would have loved to tell you sooner. Legally, we were not permitted to provide advance notification to our clients. If you have any questions prior to us contacting you, please call us at 800-934-4903 (toll-free).
Arise is not only symbolic for how we work with our clients, it’s also what resonates with our Founding Partners. Having come from humble beginnings, we know first-hand that with an uncompromising commitment to “arise” you can create the best life for yourself. It's our firm’s commitment to continue guiding our clients in their financial decisions and clearing the way for them to soar to new heights.
You can expect a smooth process as we make this transition together. You will be contacted directly to discuss how this change will positively impact your experience with us, as well as discuss the process for your account transfer.
Yes. However, if you choose this for your account, we will not be able to manage your investments since we’re no longer affiliated with Wells Fargo. Your accounts would be reassigned to a different advisor.
LPL Financial is our custodian for our clients’ assets. With more than $1 trillion in client assets serviced and custodied, LPL provides an enormous catalog of services and resources, as well as a long history of financial stability.
LPL is a Financial Industry Regulatory Authority (FINRA) member firm subject to the federal securities laws and the rules of industry self-regulatory organizations, which requires LPL to protect client assets with the utmost care and adhere to financial protection rules keeping your money safe.
LPL accounts have additional securities protection to cover the net equity of client accounts up to an overall aggregate firm limit of $600M. This coverage is underwritten by Lloyds of London syndicates.
Our first priority is helping you take care of yourself and your family. We want to learn more about your personal situation, identify your dreams and goals, and understand your tolerance for risk. Long-term relationships that encourage open and honest communication have been the cornerstone of my foundation of success.
To protect your personal information from unauthorized access and use, LPL Financial uses security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. LPL’s online environment uses security technologies, including layered security and access controls over personal information.
For further information, please visit LPL’s Privacy/Security page at: www.lpl.com/disclosures/privacy-security.html.
As soon as your account has been moved to Arise Private Wealth, we will contact you to let you know how to enroll and log-in to our new and improved client portal.
* As reported by Financial Planning magazine, June 1996-2020, based on total revenue. Steve Carlsen and Sathya Chey are registered representatives with securities and advisory services offered through LPL Financial, a registered investment advisor. Member FINRA/SIPC. CA Insurance License: 0683994 and 0M62433
At Arise Private Wealth we value your unique attributes and are dedicated to guiding you through your financial journey.
550 Silver Spur Road, Suite 350
Rolling Hills Estates, CA 90275
(310) 270-9033 DIRECT
(310) 272-5871 FAX
(800) 934-4903 TOLL FREE
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