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Claudia Stern

Lebenthal Global Advisors, LLC
28 Years of Experience
Charlotte, NC
2 Disclosures
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Claudia Stern is a registered investment advisor at Lebenthal Global Advisors, LLC, based in Charlotte, NC, with 28 years of industry experience. Claudia operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,465 clients with $970M in assets under management.

Lebenthal Global Advisors, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
2,465 clients
Average Client Portfolio
$394K average
Assets Under Management
$971.8M

Fee Structure

Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.40%
$100K - $250K2.35%
$250K - $500K2.25%
$500K - $1.0M2.15%
$1.0M - $5.0M2.12%
$5M+2.05%

Maximum wrap fee is 2.40% (2.00% advisory fee plus 0.40% platform fee). Clients typically pay between 1.00% and 1.50%. Smaller accounts ($800,000 or less) are typically charged a flat fee, while larger accounts use a blended tiered schedule. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Charlotte, NC

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2003
Denied
Criminal
June 1982
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Lebenthal Global Advisors, LLC
July 2022 - Present · 4 yrs 3 mos
Previous Registrations
Fusion Analytics Investment Partners LLC
May 2016 - September 2017 · 1 yr 4 mos
Fusion Analytics Investment Partners LLC
March 2016 - December 2016 · 9 mos
Fusion Analytics Securities LLCBroker
March 2016 - June 2017 · 1 yr 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2005 - March 2016 · 11 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2004 - March 2016 · 11 yrs 3 mos
Citigroup Global Markets INC.Broker
September 1999 - January 2005 · 5 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1993 - September 1999 · 6 yrs 3 mos
Taglich Brothers, D'amadeo, Wagner & CO., INC.Broker
August 1992 - February 1993 · 6 mos
Berkeley Securities CorporationBroker
March 1989 - May 1989 · 2 mos
State Registrations2 states
NCTX
Advisor

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
No exam information available for this advisor.
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