Rick Sande
Rick Sande is a registered investment advisor at Aegis Capital CORP., based in Melville, NY, with 20 years of industry experience. Rick operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 3,083 clients with $1.8B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Aegis Capital Corp. charges a fee based on a percentage of the assets they manage for you.
If most transaction costs are charged to you:
- First $250,000 - maximum 2.50% per year
- Next $750,000 - maximum 2.25% per year
- Over $1,000,000 - maximum 2.00% per year
If most transaction costs are charged to Aegis:
- First $250,000 - maximum 3.00% per year
- Next $750,000 - maximum 2.75% per year
- Over $1,000,000 - maximum 2.50% per year
The fee can be charged in one of three ways: Floating Rate, Incremental Rate, or Fixed Rate, as specified in your client agreement. The amount of the fee may be negotiable.
Location
1305 Walt Whitman Rd, Suite 120, Melville, NY, 11747
Get directionsHistory
Regulatory History (3)
Customer Dispute
February 2018Customer Dispute
March 2016Customer Dispute
September 2009Other Business ActivitiesSells Insurance
Rick is a life insurance agent with American National Insurance Company since 2013, dedicating minimal time. He is also a producer/agent with ACC Agency, Inc., an insurance general agency, since 2016, spending a few hours per week.
Employment History
Current Registrations
Aegis Capital CORP.
Aegis Capital CORP.Broker
Previous Registrations
Gunnallen Financial, INCBroker
State Registrations21 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.