Patrick Roten
Patrick Roten is a registered investment advisor at Platform Technology Partners, based in Woodbury, NY, with 28 years of industry experience. Patrick operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 771 clients with $1.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
PTP generally charges an annual fee based on a percentage of the average daily value of the assets being managed. The annual fee is in addition to brokerage commissions, transaction fees, and other related costs. The fee is charged monthly or quarterly, in arrears, based on the average daily value of the assets. The total annual management fee is the sum of the program fee, advisory fee, and administration fee(s), and may not exceed 3.00%. PTP may invest client assets in private funds managed by PTP, which also incur asset-based management fees and potentially performance-based fees.
Location
135 Crossways Park Drive, Suite 404, Woodbury, NY, 11797
Get directionsHistory
Regulatory History (2)
Customer Dispute
January 2011Customer Dispute
January 2002Other Business ActivitiesSells Insurance
Patrick is an IAR of Northeast Private Wealth Management and sells fixed insurance through Spire Insurance since 2019. He also owns 63 Forest Avenue Holding Company LLC since August 2024, managing real estate property for rental income.
Employment History
Current Registrations
Platform Technology Partners
Spire Securities, LLCBroker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Prudential Securities IncorporatedBroker
State Registrations11 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.