Dennis Noss is a registered investment advisor at Ni Advisors, based in Milpitas, CA, with 12 years of industry experience. Dennis operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 6 clients with $3.6M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ni Advisors offers investment management services where fees are calculated as a percentage of your investments. The annual fee is based on the type of investment (equity, mutual fund/variable annuity, or fixed income) and the amount you invest. The fee is at least $1,000 per year. Fees are negotiable and billed quarterly.
For equity investments, the fee schedule is:
- First $100,000: 1.00% (with a $1,000 minimum fee)
- Next $150,000: 1.00%
- Next $250,000: 0.90%
- Next $250,000: 0.80%
- Next $250,000: 0.75%
- Next $1,000,000: 0.70%
- Next $1,000,000: 0.65%
- Next $2,000,000: 0.60%
- Next $5,000,000: 0.50%
- Over $10,000,000: 0.30%
For mutual fund/variable annuity investments, the fee schedule is:
- First $100,000: 1.00% (with a $1,000 minimum fee)
- Next $150,000: 1.00%
- Next $250,000: 1.00%
- Next $250,000: 1.00%
- Next $250,000: 0.75%
- Next $1,000,000: 0.75%
- Next $1,000,000: 0.50%
- Next $2,000,000: 0.50%
- Next $5,000,000: 0.50%
- Over $10,000,000: 0.50%
For fixed income investments, the fee schedule is:
- First $100,000: 1.00% (with a $1,000 minimum fee)
- Next $150,000: 0.30%
- Next $250,000: 0.30%
- Next $250,000: 0.30%
- Next $250,000: 0.30%
- Next $1,000,000: 0.25%
- Next $1,000,000: 0.25%
- Next $2,000,000: 0.25%
- Next $5,000,000: 0.20%
- Over $10,000,000: 0.20%
There is no fee on cash or money market funds.
Location
1138 Cadillac Court, Milpitas, CA, 95035
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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 ActivitiesSells Insurance
Dennis is a licensed insurance agent and an Enrolled Agent through his employment with Cayman Capital Management. These activities are not investment-related and the time commitment varies based on client need.
Employment History
Current Registrations
Ni Advisors
Cayman Capital Management, INC.
Previous Registrations
Portsmouth Financial Services
Portsmouth Financial ServicesBroker
Transamerica Financial Advisors, INCBroker
Transamerica Financial Advisors, INC.
AXA Advisors, LLC
AXA Advisors, LLCBroker
Great Point Capital LLCBroker
Hold Brothers On-Line Investment Services L.L.C.Broker
Integrity Trading, 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.