Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
63 advisors
Number of Clients
3,823 clients
Average Client Portfolio
$1.9M average
Assets Under Management
$7.1B

Fee Structure

Financial Planning:Investment management only

The client will pay an annual advisory fee that includes fees and expenses for investment advisory, custodial, clearing, and other services provided under the program, as well as all brokerage commissions and associated transaction costs. The advisory fee for the Personal Bond Strategy is a fixed, non-tiered rate of 0.70%.

Areas of Practice
Investment Management
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Advisor Information

Office location

240 Greenwich Street, New York, NY, 10286

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Regulatory 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.

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Employment History
Current Registrations
Bny Mellon Securities Corporation Broker
September 2024 - Present · 1 yr 4 mos
Bny Mellon Securities Corporation
September 2024 - Present · 1 yr 4 mos
Bny Mellon Securities Corporation
September 2024 - Present · 1 yr 4 mos
Previous Registrations
UBS Financial Services INC.
July 2023 - September 2024 · 1 yr 2 mos
UBS Financial Services INC. Broker
September 2022 - September 2024 · 2 yrs
State Registrations51 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.