Jonathan Carter is a registered investment advisor at RBC Rochdale, LLC, based in New York, NY, with 15 years of industry experience. Jonathan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 17,054 clients with $73B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
RBC Rochdale offers investment management services with fees based on a percentage of the assets managed. The specific fees vary depending on the account type and the amount invested.
Annual Program Relationship Model:
Clients pay an annual investment advisory fee and an annual program fee. The investment advisory fee covers investment management services, while the program fee covers transaction costs and custodial services.
Transaction-Based Relationship Model:
Clients pay an annual investment management fee, transaction costs, and custodial fees.
Fees may be negotiable.
Location
400 Park Avenue, 10th Floor, New York, NY, 10022
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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.
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Jonathan serves on the board of trustees for Partners in Prevention, reviewing financial statements, and is the Treasurer and Finance Chair, dedicating minimal time. Jonathan and his wife also own a rental property, where he acts as the landlord, spending a few hours per week.
Employment History
Current Registrations
Cnr Securities, LLC
RBC Rochdale, LLC
Cnr Securities, LLCBroker
Previous Registrations
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Edward Jones
Edward JonesBroker
State Registrations2 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.