Alan Bernstein is a registered investment advisor at Centaurus Financial, INC., based in Shelton, CT, with 23 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, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 38,049 clients with $7.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Centaurus Financial's advisors manage client accounts through various programs, charging an annual fee based on the amount invested. Fees are negotiable and can be a flat percentage or tiered, where the rate decreases as the portfolio value increases. Additional charges may include transaction fees, custodial fees, and internal fund fees.
Maximum advisory fees:
- Alpha, Beta, ABJ, Omega, Delta: 2.25%
- AA & VL: 1.50%
- Adviser-Directed: 1.35%
- FlexUMA: 2.25%
Third-Party Money Managers (TPMMs) charge fees ranging from 1.00% to 3.00%.
Location
231 Coram Avenue, Shelton, CT, 06484
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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 uses "CT Institute of Finance" as a DBA for marketing and branding purposes since 2012, and also works as a tax preparer through the same entity since 2003, dedicating full-time hours to this from January to April. Additionally, Alan coaches clients on individual and business needs through Sound Coaching Inc. since 2009, dedicating about a quarter of his time.
Employment History
Current Registrations
Centaurus Financial, INC.
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Previous Registrations
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Sound Asset Management Group, LLC
Qa3 Financial CORP.Broker
Sound Asset Management, INC.
Royal Alliance Associates, INC.Broker
Prime Capital Services, INC.Broker
State Registrations6 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.