Kenneth Shapiro
Kenneth Shapiro is a registered investment advisor at Rockefeller Capital Management, based in New York, NY, with 24 years of industry experience. Kenneth is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 50,292 clients with $100B 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 | 2.00% |
Non-discretionary investment advisory and consulting fees are negotiable and max out at 2% of assets under management. Retirement plan services charge up to 1.25% with a $5,000 minimum annual fee.
Fee Estimator
Location
45 Rockefeller Plaza, New York, NY, 10111
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2019Customer Dispute
April 2009Customer Dispute
April 2008Employment History
Current Registrations
Rockefeller Capital Management
Rockefeller Capital Management
Rockefeller Financial LLCBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations30 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
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