Paul Gregg is a registered investment advisor at Rock Elm Capital Management LLC, based in Darien, CT, with 31 years of industry experience. Paul operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $50.0M | 2.00% |
| $50.0M - $100.0M | 1.75% |
| $100M+ | 1.75% |
Fees negotiable for accounts over $100,000,000.
Fee Estimator
Location
30 Old Kings Highway South, Darien, CT, 06820
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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
Rock Elm Capital Management LLC
Previous Registrations
Macquarie Capital (USA) INC.Broker
Barclays Capital INC.Broker
Lehman Brothers INC.Broker
Citigroup Global Markets INC.Broker
Citicorp Securities, INC.Broker
Citicorp Securities, INC.Broker
Nomura Securities International, INC.Broker
State Registrations1 state
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.