Sue Caplan
Sue Caplan is a registered investment advisor at Sanford C. Bernstein & CO., LLC, based in New York, NY, with 39 years of industry experience. Sue is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 3 more. Their firm serves 112 clients with $1.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.85% |
| $500K - $1.0M | 1.50% |
| $1.0M - $2.0M | 1.25% |
| $2.0M - $3.0M | 1.20% |
| $3.0M - $6.0M | 1.10% |
| $6.0M - $11.0M | 1.05% |
| $11.0M - $26.0M | 0.90% |
| $26.0M - $51.0M | 0.75% |
| $51M+ | 0.65% |
Rates shown apply to return-seeking and diversifying assets. Accounts between $1M and $5M also incur a 0.25% administrative and servicing charge on the first $3M of applicable assets. Accounts under $1M fall under an all-inclusive fee schedule.
Fee Estimator
Location
New York, NY
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2013Employment History
Current Registrations
Alliancebernstein L.P.
Sanford C. Bernstein & CO., LLC
Sanford C. Bernstein & CO., LLCBroker
Previous Registrations
Neuberger Berman, LLC
Neuberger Berman, LLCBroker
Bear, Stearns & CO. INC.Broker
Labe, Simpson & CO.Broker
State Registrations24 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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