Adam Kozak is a CFP-designated registered investment advisor at Spc, based in Eastchestor, NY, with 14 years of industry experience. Adam operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
475 White Plains Rd, Suite 28, Eastchestor, NY, 10709
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Regulatory History (1)
Customer Dispute
March 2021Other Business ActivitiesSells Insurance
Adam provides financial services through KPL Financial Group LLC and has been an independent insurance agent since 2012, selling life, accident, health, and fixed index annuities. He also serves as trustee of a special needs trust for his brother, dedicating minimal time to this activity.
Employment History
Current Registrations
Spc
Sigma Financial CorporationBroker
Previous Registrations
Metlife Securities 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.