Charles Chiu
Advisor at Golden Lake LLC
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Golden Lake LLC
Location
Parsippany, NJ
Credentials
Series 63, Series 65
Industry experience
36 years
About
Charles Chiu is a financial advisor with Golden Lake LLC in Parsippany, NJ. He holds Series 63 and Series 65 licenses and has 36 years of industry experience. Prior to founding Golden Lake LLC in 2013, he worked at TFS Securities, Inc. from 2015 to 2020. Golden Lake LLC provides investment management and consulting services primarily to individual clients, offering both discretionary and non-discretionary portfolio management. The firm employs a top-down, market-cycle approach incorporating macroeconomic analysis, market timing, tactical overlays, and quantitative technical analysis.
Fee options
Consulting fees charged as flat service fees on a one-time basis or hourly, with fixed income consulting fees ranging from 0.40% to 2.00% depending on term length.
$200,000 - $499,999: 2.00% $500,000 - $999,999: 1.75% $1,000,000 - $1,499,999: 1.50% $1,500,000 - $1,999,999: 1.25% $2,000,000 - $4,999,999: 1.00% $5,000,000 - $10,000,000: 0.90% $10,000,000 - $20,000,000: 0.80% $20,000,000 - $30,000,000: 0.70% $30,000,000 - $50,000,000: 0.60% $50,000,000 - $75,000,000: 0.50% $75,000,000 - $100,000,000: 0.40% $100,000,000+: 0.30%
Commissions are reported in SEC Form ADV Part 1 but not explicitly detailed in Part 2 brochure.
Performance-based fees offered with three options: Option one: 1.50% annualized service fee plus 10% of gross return; Option two: 0.75% annualized service fee plus 20% of gross return; Option three: 0.00% annualized service fee plus 30% of gross return. Minimum account size for performance fees is $1,000,000 (sometimes negotiable).
Account minimum: $200,000
Location
Parsippany, NJ
Most active in
Charles C has reported serving >5 clients in these states in the last 12 months.
New Jersey
Work history
Tfs Securities, Inc
2015 - 2020 (5 years)
Golden Lake LLC
2013 - Present (13 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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