Jonathon Roth
Jonathon Roth is a CFP-designated registered investment advisor at Principal Securities, INC., based in Roseville, CA, with 18 years of industry experience. Jonathon operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 48,723 clients with $15B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Principal Securities offers investment management through third-party money managers. The fees you pay depend on the specific program you choose and the amount you invest.
Under the Investment Adviser arrangement, Principal Securities charges a separate advisory fee, which is negotiable but will not exceed the following:
SEI Investment Management Corporation (Managed Account Solutions):
- Up to 1.75% annually on assets up to $500,000
- Up to 1.20% annually on assets between $500,001 and $999,999
- Up to 1.10% annually on assets of $1 million and up
SEI Investment Management Corporation (Mutual Fund Model Program):
- Up to 1.75% annually on assets up to $500,000
- Up to 1.20% annually on assets between $500,001 and $999,999
- Up to 1.10% annually on assets between $1,000,000 and $2,000,000
- Up to 0.90% annually on assets of $2,000,001 and up
Fees are collected quarterly.
Under the Promoter arrangement, you don't pay Principal Securities any fees directly. The TPMM calculates and collects all fees and then pays a portion to Principal Securities as a promoter's fee, ranging from 0.07% to 1.5% of assets or up to 50% of the advisory fee.
Location
1478 Stone Point Dr, Ste 390, Roseville, CA, 95661
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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
Jonathon is an insurance agent selling life, disability, annuity, health, and long-term care insurance, dedicating minimal time to this activity. He also coaches lacrosse and serves as Vice President for Roseville Youth Lacrosse, spending a few hours per week on these activities.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Investment Advisors
Proequities, INC.Broker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Brownson, Rehmus & Foxworth, INC.
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.