Arthur Rozema
Arthur Rozema is a registered investment advisor at Sanctuary Advisors, LLC, based in Louisville, KY, with 35 years of industry experience. Arthur 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 17,567 clients with $28B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sanctuary Advisors' fees for investment management are calculated as a percentage of the total market value of the assets managed by your investment advisor representative. The maximum fee is 2.75% of your portfolio. Fees are negotiated individually. Clients may participate in a wrap fee program, which includes management, brokerage, custodial fees, and other related costs.
Location
7511 New La Grange Road, Louisville, KY, 40222
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
April 2018Employment History
Current Registrations
Sanctuary Advisors, LLC
Sanctuary Securities, INC.
Sanctuary Securities, INC.Broker
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
J.J.B. Hilliard, W.L. Lyons, LLC
J.J.B. Hilliard, W.L. Lyons, LLCBroker
J.J.B. Hilliard, W.L. Lyons, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. Incorporated
Robert W. Baird & CO. IncorporatedBroker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations51 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.