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

Fee Structure

Minimum Investment:$25K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $100K1.50%
$100K - $500K1.15%
$500K - $1.0M1.00%
$1M+0.90%

This schedule applies to the Mutual Fund Series, Mutual Fund Series – Retirement Accounts, Mutual Fund Series – Index Portfolio and Mutual Fund Series portion of the Combined Series. The standard Advisory Fee for the Personal Bond Strategy is a fixed, non-tiered rate of 0.70%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

240 Greenwich Street, New York, NY, 10286

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History

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.

Learn about disclosures →
Employment History
Current Registrations
Bny Mellon Securities Corporation
May 2024 - Present · 1 yr 9 mos
Bny Mellon Securities Corporation
May 2024 - Present · 1 yr 9 mos
Bny Mellon Securities CorporationBroker
May 2024 - Present · 1 yr 9 mos
Previous Registrations
Columbia Management Investment Advisers, LLC
April 2010 - April 2024 · 14 yrs
Columbia Management Investment Distributors, INC.Broker
January 2009 - April 2024 · 15 yrs 3 mos
Riversource Distributors, INC.Broker
January 2007 - January 2009 · 2 yrs
Ameriprise Financial Services, INC.Broker
October 2006 - January 2007 · 3 mos
Ameriprise Financial Services, INC.Broker
September 2003 - October 2006 · 3 yrs 1 mo
Ids Life Insurance CompanyBroker
September 2003 - July 2006 · 2 yrs 10 mos
State Registrations52 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.