Richard Kos is a CFA-designated registered investment advisor at Sursum Financial LLC, based in Madison, CT, with 5 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 11 clients with $2.4M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sursum Financial manages investments for a fee based on the value of your portfolio, ranging from 0.50% to 1.50% per year. The exact fee depends on the complexity of your situation and the amount you invest. Non-qualified clients may pay a higher investment management fee. Fees are billed quarterly in advance.
Location
Madison, CT
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Regulatory History (1)
Criminal
January 2011Other Business Activities
Richard is the president of KOS Consultants, providing educational institutional consulting and marketing services. This activity takes about half of Richard's time.
Employment History
Current Registrations
Sursum Financial LLC
Previous Registrations
Carolina Capital Markets, INC.
Merrill Lynch Pierce Fenner & Smith INC.
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.