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Michael Rule

Quint Capital Management
31 Years of Experience
New York, NY
4 DisclosuresBroker
View SEC Summary
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Michael Rule is a registered investment advisor at Quint Capital Management, based in New York, NY, with 31 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 103 clients with $160M in assets under management.

Quint Capital Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
103 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$162.1M

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Standard fee is up to 2.00% per year, billed quarterly in arrears. Fees are negotiable based on relationship history, asset type, account size, volume, and required services.

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

Location

230 Park Ave Ste 460, New York, NY, 10169

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History

Regulatory History (4)
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.
Regulatory
May 1999
Final
Regulatory
January 1999
Final
Regulatory
July 1998
Final
Employment Separation After Allegations
March 1997
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Quint Capital Management
September 2018 - Present · 8 yrs 1 mo
Quint Capital CorporationBroker
April 2015 - Present · 11 yrs 6 mos
Previous Registrations
Apb Financial Group, LLCBroker
March 2010 - April 2015 · 5 yrs 1 mo
Talley & CompanyBroker
December 2007 - May 2009 · 1 yr 5 mos
VisionBroker
March 2001 - December 2007 · 6 yrs 9 mos
Rm Stark & CO INC.Broker
May 2000 - January 2001 · 8 mos
Dalton Kent Securities Group, INC.Broker
January 1999 - April 1999 · 3 mos
J.P. Turner & Company, L.L.C.Broker
May 1998 - December 1998 · 7 mos
Nichols, Safina, Lerner & CO. INC.Broker
August 1997 - January 1998 · 5 mos
Prudential Securities IncorporatedBroker
November 1996 - April 1997 · 5 mos
Smith Barney INC.Broker
February 1994 - October 1996 · 2 yrs 8 mos
Painewebber IncorporatedBroker
May 1992 - March 1994 · 1 yr 10 mos
State Registrations22 states
ALAZCACOFLGAIDLAMAMDMIMSNCNHNJNYOKPARISCTXVA
AdvisorBrokerBoth

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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