Caroline Novak
Caroline Novak is a registered investment advisor at Sage Rhino Capital LLC, based in Menlo Park, CA, with 24 years of industry experience. Caroline operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 192 clients with $790M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sage Rhino Capital offers asset management services where they manage your investments and provide financial planning. The maximum annual fee is 1.50% of your portfolio, billed monthly in advance. This fee is negotiable. If Sage Rhino Capital uses a third-party investment advisor to help manage your portfolio, you'll pay an additional fee up to 1.00%, but the combined fees will not exceed 2.50%.
Location
101 Jefferson Drive, Menlo Park, CA, 94025
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Regulatory History (2)
Employment Separation After Allegations
December 2017Customer Dispute
August 2007Employment History
Current Registrations
Sage Rhino Capital LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.