Stephen Paul Florio

Rossby Financial, LLC

40 Years of Experience

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Firm Information

Rossby Financial, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Number of Advisors

18 advisors

Number of Clients

804 clients

Average Client Portfolio

$446K average

Assets Under Management

$358.6M

Fee Structure

Minimum Investment:None

Rossby Financial offers investment management services for an annual fee based on assets under management. The management fee is negotiable and varies depending on the size and composition of a client’s portfolio, the type of services rendered, and the representative providing services. The maximum management fee will not exceed 2.5% of the assets under management.

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Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement PlanningEstate PlanningHigh Net Worth

Advisor Information

Office location

2412 Irwin Street, Melbourne, FL, 32901

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Regulatory History (5)

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.

Financial

July 2023

Final

Regulatory

April 2023

Final

Regulatory

August 2020

Final

Employment Separation After Allegations

August 2018

Customer Dispute

September 1994

Settled

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Other Business Activities

Stephen is a board trustee for Downtown Harbor Church, dedicating minimal time to overseeing personnel and activities. He also works as a consultant for Neptune Global Holdings, LLC, spending a few hours per week training employees and assisting with sales of physical bullion offerings.