Edward Obrien is a registered investment advisor at Sophis Investments LLC, based in New York, NY, with 41 years of industry experience. Edward operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 42 clients with $130M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sophis Investments charges an annual management fee ranging from 1% to 2% of the value of your portfolio, depending on your investment goals. Fees are calculated and paid quarterly, based on the portfolio value on the last business day of the quarter. Some clients may be eligible to pay a performance-based fee instead of the management fee, equal to 10% to 20% of the net capital increase of the account.
Location
250 Park Avenue, 7th Floor, New York, NY, 10177
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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.
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Edward is an officer of Edward Obrien LLC, a holding company. He spends about 10-20% of his time on this activity, with no compensation involved.
Employment History
Current Registrations
Sophis Investments LLC
Previous Registrations
Alexander Capital, L.P.Broker
Guggenheim Securities, LLCBroker
Keefe, Bruyette & Woods, INC.Broker
Advest, INC.Broker
Prudential Securities IncorporatedBroker
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.