Suzette Rothberg is a CFP-designated registered investment advisor at Northwest Asset Management, based in Independence, MN, with 36 years of industry experience. Suzette operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,776 clients with $4.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.75% |
Fees are negotiable and have a maximum annual rate of 1.75%. Actual fees may differ based on relationship size, services needed, investment strategy, and trading activity.
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Location
Independence, MN
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Suzette owns Suzette Rothberg Consulting LLC, where she works as a consultant and professional speaker on practice management for investment professionals, dedicating about 10-20% of her time. She also owns Integritas Wealth Strategies for tax and accounting purposes and volunteers with the Foundation for Financial Planning, providing pro-bono financial planning a few hours per week.
Employment History
Current Registrations
Northwest Asset Management
Previous Registrations
Prestige Wealth Management
Securities America, INC.Broker
American Funds Distributors, INC.
American Funds Distributors, INC.Broker
Van Kampen Advisors INC
Van Kampen Funds INC.Broker
Norwest Investment Services, INC.Broker
Van Kampen American Capital Distributors, INC.Broker
Invest Financial CorporationBroker
State Registrations2 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.
Exams
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- Brian Dyvig, CFPStrategic Advisers LLC