Neal Richard
Neal Richard is a registered investment advisor at Richard Brothers, Financial Advisors, based in South Portland, ME, with 33 years of industry experience. Neal operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning. Their firm serves 160 clients with $150M 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 $1.0M | 1.85% |
| $1.0M - $2.0M | 1.65% |
| $2.0M - $3.0M | 1.40% |
| $3.0M - $4.0M | 1.25% |
| $4.0M - $6.0M | 1.00% |
| $6M+ | 0.75% |
Fees are negotiable.
Fee Estimator
Location
50 Donald B. Dean Drive, Suite One, South Portland, ME, 04106
Get directionsHistory
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 ActivitiesSells Insurance
Neal is the CFO and an advisor at Richard Brothers Financial Advisors, dedicating about 10-20% of his time. He also owns and manages Marlin Enterprise, a real estate holding company, and spends minimal time on this. Additionally, Neal is a shareholder and treasurer at AFX Global Advisors Inc., an insurance agency, dedicating a few hours per week.
Employment History
Current Registrations
Richard Brothers, Financial Advisors
Richard Brothers SecuritiesBroker
Previous Registrations
Raymond James Financial Services, INC.Broker
Key Investments INC.Broker
Mccarley and Associates, INC.Broker
State Registrations10 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.