Lori Rothenberger is a registered investment advisor at Spc, based in Yankton, SD, with 14 years of industry experience. Lori operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
1101 Broadway, Ste 108-4, Yankton, SD, 57078
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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
Lori is an insurance agent since July 2024, selling insurance products through Ascend Financial, Inc. This activity takes a few hours per week.
Employment History
Current Registrations
Spc
Parkland Securities, LLCBroker
Previous Registrations
Just Wealth Management, LLC
Variable Investment Associates, INC.Broker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Investment Centers of America, INC.
Investment Centers of America, 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.