Carlos Soriano is a registered investment advisor at Calamos Advisors LLC, based in Northbrook, IL, with 19 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,662 clients with $38B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Calamos Advisors manages separate accounts with fees based on a percentage of the assets managed. The minimum investment and fees vary depending on the investment strategy. Here are some examples:
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Dynamic Intermediate Tax-Efficient:
- First $10 million: 0.40%
- Next $15 million: 0.30%
- Next $25 million: 0.25%
- Next $50 million: 0.20%
- Next $150 million: 0.15%
- Balance: 0.10%
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Small Cap Growth:
- First $25 million: 0.90%
- $25-$50 million: 0.85%
- $50-$100 million: 0.75%
- Above $100 million: 0.65%
Fees are calculated and invoiced at the end of each calendar quarter and are normally payable quarterly in advance, but may also be payable in arrears. Calamos may negotiate or waive fees on a client-by-client basis.
Location
Northbrook, IL
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Regulatory History
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 →Other Business Activities
Carlos owns a condo rental property since 2010. He spends minimal time on general landlord duties.
Employment History
Current Registrations
Calamos Advisors LLC
Calamos Financial Services LLCBroker
Calamos Financial Services LLC
Previous Registrations
Calamos Wealth Management LLC
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Bear, Stearns & CO. INC.Broker
Bear, Stearns & CO. INC.
UBS Financial Services INC.
UBS Financial Services INC.Broker
State Registrations6 states
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.