Wayne Kaufman
Wayne Kaufman is a registered investment advisor at Weathervane Asset Management LLC, based in New York City, NY, with 31 years of industry experience. Wayne operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 66 clients with $260M 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+ | 1.00% |
Investment Management and Performance Fees are negotiable based on the potential for additional account deposits, the relationship of the client with the investment adviser representative, and the total amount of assets under management for the client. In addition to the annual fee based on the value of the client's assets under management, Weathervane is compensated for Investment Management Services through a performance based fee. The performance based fee will generally not exceed 25% of the capital appreciation attained within the client's account.
Fee Estimator
Location
100 Wall Street 10th Floor, New York City, NY, 10005
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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
Wayne is affiliated with Weathervane Asset Management LLC as a registered investment advisor. He spends about 10-20% of his time on market hours per week and a few hours per week on non-market hours per day.
Employment History
Current Registrations
Weathervane Asset Management LLC
Phx Financial, INC.Broker
Previous Registrations
Rockwell Securities LLCBroker
John Thomas FinancialBroker
Prestige Financial Center, INC.Broker
S.W. Bach & CompanyBroker
Harrison Securities, INC.Broker
Whitehall Wellington Investments, INC.Broker
M.S. Farrell & Company, INC.Broker
Joseph Dillon & Company INC.Broker
Hd Brous & CO., INC.Broker
Lew Lieberbaum & CO., INC.Broker
Chatfield Dean & CO., INC.Broker
State Registrations15 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.