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Charmaine Kaes

Blackridge Asset Management, LLC
39 Years of Experience
Williamsville, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Charmaine Kaes is a registered investment advisor at Blackridge Asset Management, LLC, based in Williamsville, NY, with 39 years of industry experience. Charmaine is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 2,433 clients with $220M in assets under management.

Blackridge Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
69 advisors
Number of Clients
2,433 clients
Average Client Portfolio
$89K average
Assets Under Management
$216.7M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees range from 0.25% to 2.50% annually depending on the program, services provided, account size, and negotiation with your representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

305 Spindrift Driive, Williamsville, NY, 14221

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Charmaine is the president and owner of Compensation Services, Inc., a pension administration company, dedicating a few hours per week. She also works as a sales representative for National Integrity selling fixed annuities and for National Life of Vermont selling life insurance, dedicating minimal time to each, and as an advisor for Blackridge Asset Management, dedicating a few hours per week.

Employment History
Current Registrations
Blackridge Asset Management, LLC
March 2022 - Present · 4 yrs 7 mos
Peak Brokerage Services, LLCBroker
January 2019 - Present · 7 yrs 9 mos
Previous Registrations
Cambridge Investment Research, INC.Broker
July 2011 - January 2019 · 7 yrs 6 mos
Ensemble Financial Services, INC.Broker
February 2011 - June 2011 · 4 mos
Signator Investors, INC.Broker
October 2004 - February 2011 · 6 yrs 4 mos
Park Avenue Securities LLCBroker
November 1999 - October 2003 · 3 yrs 11 mos
Equity Services, INC.Broker
January 1999 - October 2004 · 5 yrs 9 mos
Guardian Investor Services CorporationBroker
December 1987 - January 1999 · 11 yrs 1 mo
MML Investors Services, INC.Broker
January 1987 - December 1987 · 11 mos
State Registrations2 states
FLNY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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