Richard Rosenberg is a CFP-designated registered investment advisor at Mariner, based in New York, NY, with 20 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 11 more. Their firm serves 55,512 clients with $130B 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 $1.0M | 1.25% |
| $1.0M - $5.0M | 1.00% |
| $5.0M - $10.0M | 0.80% |
| $10M+ | 0.60% |
Fees are subject to negotiation. Subject to a minimum quarterly fee of $1,875. Certain alternative strategies and specialized accounts may incur separate strategy fees or third-party manager fees.
Fee Estimator
Location
1500 Broadway, 28th Floor, New York, NY, 10036
Get directionsHistory
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
Richard is an adjunct professor at New York University, teaching an estate planning class. This activity, which is not investment-related, takes a few hours per week, including some time during trading hours.
Employment History
Current Registrations
Mariner
Previous Registrations
Mariner Wealth Advisors
Rr Advisory Group, LLC
Rr Advisory Group, LLC
Rr Advisory Group, LLC
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
More Advisors
- Justin Mccarthy, CFPMariner
- Henry Cox, CFPMariner
- Jason Monteleone, CFPMariner
- Connor Lacher, CFPMariner
- Cory Doliner, CFPMariner
- Adam KotzMariner