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Nicholas Cappello

Lebenthal Global Advisors, LLC
15 Years of Experience
Hauppauge, NY
Broker
View SEC Summary
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Nicholas Cappello is a registered investment advisor at Lebenthal Global Advisors, LLC, based in Hauppauge, NY, with 15 years of industry experience. Nicholas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,465 clients with $970M in assets under management.

Lebenthal Global Advisors, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25 advisors
Number of Clients
2,465 clients
Average Client Portfolio
$394K average
Assets Under Management
$971.8M

Fee Structure

Minimum Investment:None
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.40%
$100K - $250K2.35%
$250K - $500K2.25%
$500K - $1.0M2.15%
$1.0M - $5.0M2.12%
$5M+2.05%

Maximum wrap fee is 2.40% (2.00% advisory fee plus 0.40% platform fee). Clients typically pay between 1.00% and 1.50%. Smaller accounts ($800,000 or less) are typically charged a flat fee, while larger accounts use a blended tiered schedule. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

200 Parkway Drive South, Suite 200, Hauppauge, NY, 11788

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History

Regulatory History
Clean regulatory record

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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Other Business Activities

Nicholas is a Registered Representative at Lebenthal Financial Services Inc. since 2012, an Investment Adviser Representative at Lebenthal Global Advisors, LLC since 2019, and Head Trader at Lebenthal Diversified Asset Management since 2015.

Employment History
Current Registrations
Lebenthal Global Advisors, LLC
January 2022 - Present · 4 yrs 9 mos
Lebenthal Financial Services, INC.Broker
July 2012 - Present · 14 yrs 3 mos
Previous Registrations
Investacorp, INC.Broker
May 2011 - June 2012 · 1 yr 1 mo
State Registrations2 states
NYPA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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