Maurice Kauff
Maurice Kauff is a registered investment advisor at Northern Capital Securities Corporation, based in Bourne, MA, with 29 years of industry experience. Maurice is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $2.0M | 0.75% |
| $2.0M - $5.0M | 0.50% |
| $5.0M - $10.0M | 0.45% |
| $10M+ | 0.40% |
Fees and services may be negotiated and may vary based on client type, service levels, portfolio complexity, number of accounts, account size, or other special circumstances.
Fee Estimator
Location
Bourne, MA
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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
Maurice is an adjunct instructor at Merrimack College and Hult International Business School, teaching graduate finance classes, dedicating about 10-20% of his time to each role. He also serves as Trustee of the Permanent Fund for St. John's Lodge, a fraternal organization, spending minimal time on oversight and investment duties.
Employment History
Current Registrations
Northern Capital Securities Corporation
Northern Capital Securities Corporation
Northern Capital Securities CorporationBroker
Previous Registrations
Maxim Group LLCBroker
Investors Capital CORP.Broker
Northern Capital Securities CorporationBroker
A. G. Edwards & Sons, INC.Broker
Josephthal Lyon & Ross IncorporatedBroker
State Registrations3 states
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