Alan Rothstein is a PFS-designated registered investment advisor at Advisory Services Network, based in Avon, CT, with 24 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 12,919 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 2.25% |
| $500K - $2.0M | 1.75% |
| $2.0M - $5.0M | 1.50% |
| $5M+ | 1.25% |
All fees are negotiable at the firm's discretion. The firm also offers a floating flat rate schedule using the same percentage breakpoints applied to total account assets.
Fee Estimator
Location
80 West Avon Rd., Avon, CT, 06001
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Alan rents office space under the name Alan and Marilyn Rothstein and maintains the properties as needed. He also owns Rothstein and Company, LLC, a CPA practice, where he works full-time providing tax preparation and accounting services.
Employment History
Current Registrations
Advisory Services Network
Previous Registrations
Asset Strategies, INC.
State Registrations2 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.
Exams
More Advisors
- Christopher Stevenson, CFATelos Partners LLC
- Curt Christensen, CFPCetera Investment Advisers LLC
- Francis Tedesco, CFPPrivate Advisor Group, LLC
- Michael Rabbitt, CFPPrivate Advisor Group, LLC
- Ranald Nicholas, CFPRaymond James Financial Services Advisors, INC
- Daniel Moroney, CFPSound Income Strategies, LLC