RK
RK
Rafael Klein
28 Years of Experience
E Westport, CT
8 DisclosuresBroker
Rafael Klein is a registered investment advisor at Spirit of America Management CORP, based in E Westport, CT, with 28 years of industry experience. Rafael 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 21 clients with $540M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
14 advisors
Number of Clients
21 clients
Average Client Portfolio
$25.7M average
Assets Under Management
$540.0M
Fee Structure
Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 1.67% |
| $100K - $500K | 1.62% |
| $500K - $1.0M | 1.52% |
| $1.0M - $2.5M | 1.40% |
| $2.5M+ | 1.25% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
Loading...
Location
1221 Post Road East, E Westport, CT, 06880
Get directionsHistory
Regulatory History (8)
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
April 2026Pending
Customer Dispute
October 2025Pending
Customer Dispute
May 2021Settled
Customer Dispute
November 2020Settled
Customer Dispute
August 2020Settled
Customer Dispute
December 2016Settled
Customer Dispute
November 2011Closed-No Action
Criminal
October 1995Final Disposition
Other Business Activities
Rafael is an Investment Advisory Representative and an agent at Spirit of America Management Corporation, an affiliated company.
Employment History
Current Registrations
Spirit of America Management CORP
March 2018 - Present · 8 yrs 7 mos
David Lerner Associates, INC.Broker
April 2005 - Present · 21 yrs 6 mos
Previous Registrations
Farina & Associates, INC.Broker
September 2001 - October 2004 · 3 yrs 1 mo
Investec Ernst & CompanyBroker
December 2000 - September 2001 · 9 mos
Gkn Securities CORP.Broker
February 1999 - December 2000 · 1 yr 10 mos
Hd Brous & CO., INC.Broker
October 1998 - January 1999 · 3 mos
Gkn Securities CORP.Broker
April 1997 - August 1998 · 1 yr 4 mos
State Registrations23 states
AZCACOCTFLGAIDILINLAMDMINCNJNVNYORPARISCTXVAVT
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.
More Advisors
- Maxim TulupnikoffSpirit of America Management CORP
- John LamontSpirit of America Management CORP