JD
JD
John Dragotta
27 Years of Experience
Denver, CO
3 DisclosuresBroker
John Dragotta is a registered investment advisor at Sovereign Global Advisors, LLC, based in Denver, CO, with 27 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 1 more. Their firm serves 11 clients with $3.6M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
11 clients
Average Client Portfolio
$326K average
Assets Under Management
$3.6M
Fee Structure
Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 2.00% |
| $500K - $1.0M | 1.75% |
| $1M+ | 1.50% |
Fees are negotiable on a case-by-case basis.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
501 S Cherry Street, 11th Floor, Denver, CO, 80246
Get directionsHistory
Regulatory History (3)
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Customer Dispute
July 2003Settled
Customer Dispute
August 2002Closed-No Action
Customer Dispute
September 2001Denied
Employment History
Current Registrations
Sovereign Global Advisors, LLC
October 2016 - Present · 9 yrs 7 mos
Sovereign Global Advisors LLCBroker
February 2014 - Present · 12 yrs 3 mos
Previous Registrations
Saxony Securities, INC.Broker
October 2009 - June 2014 · 4 yrs 8 mos
Wunderlich Securities, INC.Broker
March 2007 - October 2009 · 2 yrs 7 mos
Capital Securities of America, INC.Broker
May 2002 - March 2007 · 4 yrs 10 mos
Seaboard Securities, INC.Broker
December 1998 - May 2002 · 3 yrs 5 mos
Gaines, Berland INC.Broker
April 1998 - October 1998 · 6 mos
State Registrations33 states
ALAZCACOCTDCDEFLGAILINMAMDMIMNMOMTNCNHNJNVNYOKORPAPRSCTXUTVAVirgin IslandsWAWI
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.