Lysa Rothenberg
Lysa Rothenberg is a CFP-designated registered investment advisor at Capitol Securities Management, INC., based in Alexandria, VA, with 36 years of industry experience. Lysa operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 3,745 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CSM charges a percentage of your portfolio each year for investment advisory advice. The maximum advisory fee is 2.0% per year. The fee is paid in advance, on a quarterly or monthly basis. The amount you pay will reduce any money you make on your investments. CSM also offers wrap fee programs where the fee includes investment advisory services and brokerage execution costs. The maximum wrap fee is 2.0% per year.
Location
Alexandria, VA
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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.
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Lysa is the President and Business Owner of Money Matters Inc, a tax preparation service, since 2018. She dedicates about half of her time to this business from February to April, and a few hours per week during securities trading hours.
Employment History
Current Registrations
Capitol Securities Management, INC.Broker
Capitol Securities Management, INC.
Previous Registrations
Navy Federal Brokerage Services LLC
Navy Federal Asset Management, LLC
Navy Federal Brokerage Services, LLCBroker
Navy Federal Brokerage Services LLC
Fsc Securities Corporation
Fsc Securities CorporationBroker
Capitol Securities Management, INC.
Capitol Securities Management, INC.Broker
Investors Group, LTD.Broker
State Registrations11 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.