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Roger Bruce Palley

First Foundation Advisors

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About Roger Bruce Palley

Roger Bruce Palley is a financial advisor currently registered with First Foundation Advisors. Roger Bruce Palley has been in the industry since 1990 and has worked for several firms before joining First Foundation Advisors in 2009. Roger Bruce Palley specializes in providing financial advice and portfolio management services to individuals, investment companies, and charitable organizations. Roger Bruce Palley is also a Chartered Financial Analyst.

Firm Information

Roger Palley is currently registered with First Foundation Advisors. First Foundation Advisors is an investment advisor headquartered in Irvine, CA. The firm has been registered with the SEC since 2005 and manages over $5.25 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and investment companies. They offer financial planning, portfolio management, and selection of other advisors.
First Foundation Advisors

18101 VON KARMAN AVE

IRVINE, CA 92612-1051

$5.25B

Assets Under Management

Not reported

Total Clients

31

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Roger Palley’s Registration & Firm History

CA

11/22/2013 - Present

First Foundation Advisors (IRVINE CA)

CA

10/31/2002 - 11/25/2009

NEUBERGER BERMAN LLC (NEWPORT BEACH CA)

CA

06/12/2002 - 11/13/2002

WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)

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Licenses & Designations

BOTH

Issued 08/19/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/18/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/04/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Roger Bruce Palley.
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