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Michael Cox

Lombard Advisers Incorporated
42 Years of Experience
Matthews, NC
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Michael Cox is a registered investment advisor at Lombard Advisers Incorporated, based in Matthews, NC, with 42 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Investment Management, Retirement Planning. Their firm serves 985 clients with $670M in assets under management.

Lombard Advisers Incorporated
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
33 advisors
Number of Clients
985 clients
Average Client Portfolio
$680K average
Assets Under Management
$669.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.70%
$1.0M - $3.0M1.00%
$3.0M - $10.0M0.75%
$10M+0.75%

Fees are negotiable and may be lower based on various criteria.

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

Location

130 Library Lane, Matthews, NC, 28105

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History

Regulatory History (2)
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
August 2005
Denied
Customer Dispute
September 1996
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Michael is starting to sell life and health insurance in North Carolina.

Employment History
Current Registrations
Lombard Advisers Incorporated
January 2007 - Present · 19 yrs 9 mos
Lombard Securities IncorporatedBroker
January 2007 - Present · 19 yrs 9 mos
Previous Registrations
Wachovia Securities Financial Network, LLC
May 2006 - December 2006 · 7 mos
Wachovia Securities Financial Network, LLCBroker
November 2003 - December 2006 · 3 yrs 1 mo
J.J.B. Hilliard, W.L. Lyons, INC.Broker
May 1990 - January 2004 · 13 yrs 8 mos
Shearson Lehman Hutton INC.Broker
September 1988 - May 1990 · 1 yr 8 mos
The Robinson-Humphrey Company INC.Broker
December 1986 - September 1988 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1984 - January 1987 · 2 yrs 11 mos
State Registrations16 states
DEGAILMAMDMNMONCNYOHPASCTXVAWAWV
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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