Caroline Novak
Caroline Novak is a registered investment advisor at Sage Rhino Capital LLC, based in Menlo Park, CA, with 25 years of industry experience. Caroline operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, High Net Worth, and 5 more. Their firm serves 196 clients with $880M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Fees are negotiable. If a third-party manager or separately managed account is used, an additional fee of up to 1.00% may apply, with combined fees not exceeding 2.50%.
Fee Estimator
Location
101 Jefferson Drive, Menlo Park, CA, 94025
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
December 2017Customer Dispute
August 2007Employment History
Current Registrations
Sage Rhino Capital LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations1 state
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
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