Allan Katz
Allan Katz is a registered investment advisor at Stirlingshire Investments, based in Staten Island, NY, with 35 years of industry experience. Allan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Investment Management, Real Estate Investing, and 1 more. Their firm serves 1,071 clients with $240M 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 | 2.00% |
| $250K - $500K | 1.75% |
| $500K - $1.0M | 1.50% |
| $1.0M - $3.0M | 1.25% |
| $3.0M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.75% |
| $10M+ | 0.50% |
Fees are negotiable up to 2.00%. Portfolio management fees are calculated using a blended rate across tiers and billed monthly in arrears based on the average daily balance. Additional model marketplace fees of 20 to 100 basis points apply if selecting third-party model strategies.
Fee Estimator
Location
4864 Arthur Kill Road, South Entrance #8, Staten Island, NY, 10309
Get directionsHistory
Regulatory History (3)
Regulatory
March 2021Employment Separation After Allegations
May 2020Customer Dispute
June 2019Other Business ActivitiesSells Insurance
Allan hosts networking meetings, is the president of Comprehensive Wealth Management Group LLC, and is a licensed accident, life, and health insurance agent. He also participates in the Staten Island Republican County Committee, works as a freelance musician, and is the treasurer of a Masonic lodge.
Employment History
Current Registrations
Stirlingshire Investments
Stirlingshire Investments
Stirlingshire InvestmentsBroker
Comprehensive Wealth Management Group, LLC
Previous Registrations
Buckman Advisory Group LLC
Buckman, Buckman & Reid, INC.Broker
Invescor Advisory Services, INC.
Royal Alliance Associates, INC.Broker
Ing Financial Partners, INC
Ing Financial Partners, INC.Broker
Financial Network Investment CorporationBroker
First Union Brokerage Services, INC.Broker
Citicorp Investment ServicesBroker
Joseph Stevens & Company, INC.Broker
Thomas James Associates, INC.Broker
Network 1 Financial Securities INC.Broker
Gkn Securities CORP.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations4 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
More Advisors
- William Ward, CFPStrategic Advisers LLC
- Jason Eskenazi, CFPEdward Jones
- Jacquelyn Calandriello, CFPStrategic Advisers LLC
- James Lapiedra, CFP
- Mark Coller, PFSLPL Financial LLC
- Daniel Macri, CFPLPL Financial LLC