Lisa Roth is a registered investment advisor at R. F. Lafferty & CO., INC., based in San Diego, CA, with 35 years of industry experience. Lisa is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 125 clients with $130M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.75% |
| $250K - $500K | 2.50% |
| $500K - $750K | 2.25% |
| $750K - $1.0M | 2.00% |
| $1.0M - $2.5M | 1.50% |
| $2.5M+ | 1.25% |
All fees are negotiable. Fees for accounts over $5,000,000 are fully negotiable. Minimum advisory account size is $25,000.
Fee Estimator
Location
San Diego, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Lisa is the President of Monahan & Roth, LLC, a firm providing expert witness and compliance consulting, and a FINRA Dispute Resolution Arbitrator. She also provides oversight to Responsibility Inc's investments, serves as a Board Director for Sutter Securities, Inc., and as a Board Manager for Boustead Securities, LLC, dedicating minimal time to each of these roles.
Employment History
Current Registrations
R. F. Lafferty & CO., INC.Broker
R. F. Lafferty & CO., INC.
R. F. Lafferty & CO., INC.
Previous Registrations
Xton Financial
Xton FinancialBroker
Keystone Capital Corporation
Keystone Capital Corporation
Keystone Capital CorporationBroker
Linsco/private Ledger CORP.Broker
Fixed Income Securities, INC.Broker
Royal Alliance Associates, INC.Broker
Jw Charles Securities,inc.Broker
Corporate Securities Group, INC.Broker
First Allied Securities, INC.Broker
Rockwood INC.Broker
First Affiliated SecuritiesBroker
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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