John Rochford
John Rochford is a registered investment advisor at Tocqueville Asset Management LP, based in New York, NY, with 7 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,344 clients with $9.7B 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 $5.0M | 1.25% |
| $5.0M - $15.0M | 1.00% |
| $15.0M - $25.0M | 0.75% |
| $25M+ | 0.75% |
Fees are negotiable. Clients transferring from an advisor who joined or merged with Tocqueville may continue to be charged fees in accordance with their prior billing arrangements for up to two years. For accounts with assets valued at less than $3 million, it is the basic investment philosophy and general recommendation of Tocqueville that a substantial percentage of the assets in such accounts be invested in shares of the Fund managed by TAM. Tocqueville receives from the Fund an advisory fee, which is set forth in the Fund’s prospectus. The investment management agreement of Tocqueville with respect to client assets being invested in the Fund provides that an advisory fee (at the rates set forth above) will not be charged on that portion of the account invested in the Fund.
Fee Estimator
Location
40 West 57th Street, 19th Floor, New York, NY, 10019
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Regulatory History (4)
Customer Dispute
February 2008Customer Dispute
February 2008Customer Dispute
February 2008Customer Dispute
February 2008Employment History
Current Registrations
Tocqueville Asset Management LP
Previous Registrations
J. P. Morgan Securities INC.
Chase Investment Services CORP.
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.