Moss Plaine
Moss Plaine is a registered investment advisor at A.G.P / Alliance Global Partners, based in New York, NY, with 33 years of industry experience. Moss operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 6,959 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
A.G.P. charges a percentage of your portfolio each year, up to 3%. The exact fee is negotiable and will be outlined in your investment management agreement. Fees are payable quarterly in advance. A.G.P. may group related accounts to calculate your fee. A.G.P. also offers a wrap account with fees up to 2% annually, which includes advisory, brokerage, and custodial services.
Location
590 Madison Avenue, 28th Floor, New York, NY, 10022
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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 →Other Business Activities
Moss acts as trustee for the Isabelle Schweich 2005 Trust, Matthew Schweich 2005 Trust, and Christopher Schweich 2005 Trust, dedicating minimal time. He files annual trust income tax returns and reviews monthly statements from the money managers.
Employment History
Current Registrations
A.G.P / Alliance Global Partners
A.G.P. / Alliance Global PartnersBroker
Previous Registrations
Aegis Capital CORP.
Aegis Capital CORP.Broker
Burnham Securities INC.Broker
Philips, Appel & Walden, INC.Broker
State Registrations15 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.