Richard Rose
Richard Rose is a registered investment advisor at Npa Asset Management, LLC, based in Fair Lawn, NJ, with 34 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 2,855 clients with $1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
NPA Asset Management offers several investment management programs:
- Advisor Managed Account Program: Advisors assist clients in developing custom portfolios with various securities. Maximum annual fee is 3% of the account value, negotiable.
- MA Direct Account Program: Advisors help clients select third-party money managers. Maximum annual fee is 3% of the account value, negotiable.
- MA Custom AdvisorFlex Program: Clients choose from model portfolios managed by Lockwood Advisors. Maximum annual fee is 3% of the account value, negotiable.
Fees are payable in advance and are based on the account balance. Clients may also incur transaction charges and other fees. All fees are negotiable.
Location
32-16 Broadway 2nd Floor, Fair Lawn, NJ, 07410
Get directionsHistory
Regulatory History (2)
Customer Dispute
July 2001Customer Dispute
June 2000Other Business ActivitiesSells Insurance
Richard is dually registered with NPA Asset Management and Nationwide Planning Associates, Inc. He is also an independent insurance agent through various agencies.
Employment History
Current Registrations
Npa Asset Management, LLC
Nationwide Planning Associates INC.Broker
Previous Registrations
Npa Asset Management, LLC
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Commerce Capital Markets, INC.Broker
Commerce Capital Markets, INC.
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Quick & Reilly, INC.
Quick & Reilly, INC.Broker
Prudential Securities IncorporatedBroker
Citicorp Investment ServicesBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Painewebber IncorporatedBroker
Prime Charter LTD.Broker
Oppenheimer & CO., INC.Broker
State Registrations22 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.