DD
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
58 advisors
Number of Clients
2,261 clients
Average Client Portfolio
$112.3M average
Assets Under Management
$253.8B
Fee Structure
Financial Planning:Investment management only
The brochure discusses fees and compensation but does not provide specific fee schedules or amounts.
Areas of Practice
Investment Management
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Advisor Information
Office location
200 Park Avenue, New York, NY, 10166
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Voya Investment Management CO. LLC
December 2022 - Present · 3 yrs 1 mo
Voya Investments Distributor, LLCBroker
December 2022 - Present · 3 yrs 1 mo
Previous Registrations
Charles Schwab & Co., INC.
June 2018 - December 2022 · 4 yrs 6 mos
Charles Schwab & Co., INC. Broker
June 2018 - December 2022 · 4 yrs 6 mos
New York Life Investment Management LLC
August 2015 - June 2017 · 1 yr 10 mos
Nylife Distributors LLCBroker
July 2015 - June 2017 · 1 yr 11 mos
Invesco Advisers, INC.
January 2010 - June 2015 · 5 yrs 5 mos
Invesco Aim Private Asset Management, INC.
May 2006 - January 2010 · 3 yrs 8 mos
Invesco Distributors, INC.Broker
January 2006 - June 2015 · 9 yrs 5 mos
At Investor Services, INC.Broker
July 2005 - January 2006 · 6 mos
Amvescap Services, INC.Broker
January 1999 - July 2005 · 6 yrs 6 mos
Invesco Distributors, INC.Broker
December 1989 - January 1999 · 9 yrs 1 mo
Colonial Investment Services, INC.Broker
May 1988 - August 1989 · 1 yr 3 mos
The Stuart-James Company, INC.Broker
December 1987 - January 1988 · 1 mo
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.