RL
Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
8 advisors
Number of Clients
20 clients
Average Client Portfolio
$506.5M average
Assets Under Management
$10.1B
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Advisor Information
Office location
140 E. 45th Street, New York, NY, 10017
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
Catalyst Capital Advisors LLC
August 2023 - Present · 2 yrs 5 mos
Alt Fund Distributors LLCBroker
July 2023 - Present · 2 yrs 6 mos
Previous Registrations
Pgim Investments LLC
July 2020 - July 2023 · 3 yrs
Prudential Investment Management Services LLCBroker
June 2020 - July 2023 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2012 - June 2020 · 7 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
November 2012 - June 2020 · 7 yrs 7 mos
UBS Financial Services INC.
July 2011 - August 2012 · 1 yr 1 mo
UBS Financial Services INC. Broker
July 2011 - August 2012 · 1 yr 1 mo
Metlife Securities INC.
May 2011 - June 2011 · 1 mo
Metlife Securities INC.Broker
December 2009 - June 2011 · 1 yr 6 mos
Garden State Securities, INC.Broker
May 2009 - October 2009 · 5 mos
State Registrations1 state
NY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.