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Frances Toler

Rossby Financial, LLC
24 Years of Experience
Silver Spring, MD
Sells Insurance
View SEC Summary
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Frances Toler is a registered investment advisor at Rossby Financial, LLC, based in Silver Spring, MD, with 24 years of industry experience. Frances operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 3,910 clients with $850M in assets under management.

Rossby Financial, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
31 advisors
Number of Clients
3,910 clients
Average Client Portfolio
$219K average
Assets Under Management
$854.8M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum management fee will not exceed 2.50% of assets under management. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

1100 Wayne Ave Suite 670, Silver Spring, MD, 20910

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Frances is an independent insurance agent for various insurance companies since 2001, dedicating about a quarter of her time to this. She also owns Toler Financial Group LLC, ESD Property Holdings LLC (real estate rental), and is an author/speaker.

Employment History
Current Registrations
Rossby Financial, LLC
August 2024 - Present · 2 yrs 2 mos
Previous Registrations
Cambridge Investment Research, INC.Broker
November 2015 - August 2024 · 8 yrs 9 mos
Cambridge Investment Research Advisors, INC.
November 2015 - August 2024 · 8 yrs 9 mos
Eagle Strategies LLC
July 2012 - November 2015 · 3 yrs 4 mos
Nylife Securities LLCBroker
June 2012 - November 2015 · 3 yrs 5 mos
Park Avenue Securities LLC
March 2004 - June 2012 · 8 yrs 3 mos
Park Avenue Securities LLCBroker
September 2001 - June 2012 · 10 yrs 9 mos
State Registrations3 states
MDMITX
Advisor

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.
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