Richard Rogers
Richard Rogers is a registered investment advisor at Brookwood Investment Group, based in Phoenix, AZ, with 36 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 3,160 clients with $1.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Brookwood Investment Group's investment management fee is negotiable, up to 2.50% annually, depending on factors like the amount of assets managed, portfolio complexity, and client needs. Fees can be charged using a flat, linear, or tiered percentage structure. Fees are calculated as a percentage of assets under management and assessed quarterly, either in advance or in arrears, as agreed upon. Cash positions are included when calculating the fee.
Location
3930 E. Ray Road, Suite 155, Phoenix, AZ, 85044
Get directionsHistory
Regulatory History (5)
Employment Separation After Allegations
June 2023Customer Dispute
May 2002Regulatory
June 1989Customer Dispute
December 1986Criminal
February 1961Other Business ActivitiesSells Insurance
Richard is an insurance producer with Brookwood Insurance, LLC since 2022, selling fixed insurance products. He dedicates minimal time to this activity.
Employment History
Current Registrations
Brookwood Investment Group
Previous Registrations
Belpointe Asset Management LLC
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
First Union Capital Markets CORP.Broker
Bt Alex. Brown IncorporatedBroker
Alex. Brown & Sons IncorporatedBroker
Lehman Brothers INC.Broker
Graystone Nash, 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.