RS
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
6 advisors
Number of Clients
1 client
Average Client Portfolio
$13.9M average
Assets Under Management
$13.9M
Fee Structure
Financial Planning:Investment management only
The annual fee for portfolio management services is up to 2% of the market value of assets under management, billed quarterly in advance. The advisory fee is negotiable depending on individual client circumstances. The firm may combine account values of family members. The firm does not charge a separate fee for the selection of other advisors.
Areas of Practice
Investment Management
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Advisor Information
Office location
120 Eagle Rock Ave, Suite 300, East Hanover, NJ, 07936
Get directionsRegulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 1994Settled
Employment History
Current Registrations
Gms Group
July 2010 - Present · 15 yrs 6 mos
Gms Group Broker
May 2009 - Present · 16 yrs 8 mos
Previous Registrations
Wells Fargo Advisors, LLC
July 2006 - May 2009 · 2 yrs 10 mos
Wells Fargo Advisors, LLC Broker
February 2001 - May 2009 · 8 yrs 3 mos
Prudential Securities IncorporatedBroker
April 1997 - February 2001 · 3 yrs 10 mos
First Interregional Equity CORP.Broker
November 1995 - May 1997 · 1 yr 6 mos
Halpert and Company, INC.Broker
August 1981 - November 1995 · 14 yrs 3 mos
State Registrations6 states
FLNCNJNYORPA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.