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Nicholas Trifiro

Aegis Capital CORP.
30 Years of Experience
Rochester, NY
2 DisclosuresBroker
View SEC Summary
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Nicholas Trifiro is a registered investment advisor at Aegis Capital CORP., based in Rochester, NY, with 30 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 3,083 clients with $1.8B in assets under management.

Aegis Capital CORP.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
101 advisors
Number of Clients
3,083 clients
Average Client Portfolio
$577K average
Assets Under Management
$1.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.50%
$250K - $1.0M2.25%
$1M+2.00%

Rates shown are the maximums when most transaction costs are charged to the client. If transaction costs are charged to Aegis Capital Corp., the maximum rates are 3.00% on the first $250k, 2.75% on the next $750k, and 2.50% over $1M. Fees may be negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

110 Allens Creek Rd., Suite 110, Rochester, NY, 14618

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2020
Denied
Customer Dispute
February 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Nicholas serves as an independent co-trustee for the LBW Family Protection Trust and the RJW Family Protection Trust, managing investments and distributions, dedicating minimal time to each. He also owns Trifiro Properties, LLC, a single-family rental property management business, spending a few hours per week on it.

Employment History
Current Registrations
Aegis Capital CORP.
March 2023 - Present · 3 yrs 7 mos
Aegis Capital CORP.Broker
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Securities America, INC.Broker
July 2020 - January 2023 · 2 yrs 6 mos
Investacorp, INC.Broker
September 2002 - July 2020 · 17 yrs 10 mos
UBS Painewebber INC.Broker
January 1996 - October 2002 · 6 yrs 9 mos
State Registrations18 states
ARAZCACTFLGAMAMDMIMONCNJNYPASCTXVAWI
AdvisorBrokerBoth

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
No exam information available for this advisor.
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