Rafael Klein
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 operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 21 clients with $540M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SOA Premier Assets manages investments through a wrap fee program. You'll pay an annual bundled fee that covers investment advice, introducing brokerage services from DLA, and clearing, custody, and execution services from RBC. The fee is based on the amount of cash and securities managed.
The annual wrap fee is:
- $25,000 – $99,999: 1.67%
- $100,000 – $499,999: 1.62%
- $500,000 – $999,999: 1.52%
- $1,000,000 – $2,499,999: 1.40%
- $2,500,000 and Over: 1.25%
The wrap fee is negotiable.
Location
1221 Post Road East, E Westport, CT, 06880
Get directionsHistory
Regulatory History (7)
Customer Dispute
October 2025Customer Dispute
May 2021Customer Dispute
November 2020Customer Dispute
August 2020Customer Dispute
December 2016Customer Dispute
November 2011Criminal
October 1995Other 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
David Lerner Associates, INC.Broker
Previous Registrations
Farina & Associates, INC.Broker
Investec Ernst & CompanyBroker
Gkn Securities CORP.Broker
Hd Brous & CO., INC.Broker
Gkn Securities CORP.Broker
State Registrations24 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.