RL
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
Newport Financial Center, 111 Town Square Place Suite 1234, Jersey City, NJ, 07310
Get directionsRegulatory History (4)
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
June 2023Settled
Customer Dispute
July 1990Settled
Regulatory
June 1983Final
Customer Dispute
June 1983Award / Judgment
Employment History
Current Registrations
Gms Group
January 2015 - Present · 11 yrs
Gms Group Broker
January 1989 - Present · 37 yrs
Previous Registrations
Moore & Schley, Cameron & CO.Broker
September 1985 - December 1988 · 3 yrs 3 mos
Moore & Schley Municipals, INC. Broker
September 1985 - January 1988 · 2 yrs 4 mos
Donald Sheldon & Co., INC.Broker
February 1985 - July 1985 · 5 mos
State Registrations28 states
AZCACOCTDCDEFLGAILMAMDMEMIMNMTNCNHNJNVNYOHORPARISCTNTXVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.