Richard Rosen is a CFA-designated registered investment advisor at Pinnacle Associates, LTD., based in New York, NY, with 13 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,325 clients with $10B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Annual management fees generally range between 0.50% and 1.50% depending on client type, investment strategy, and complexity. Fees are negotiable based on criteria such as asset amount, related accounts, and account composition.
Fee Estimator
Location
286 Madison Avenue, 20th Floor, New York, NY, 10017
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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 →Employment History
Current Registrations
Pinnacle Associates, LTD.
Previous Registrations
Satucket Capital Management, LLC
TD Private Client Wealth LLC
Satucket Capital Management, LLC
State Registrations2 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.
Exams
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