Aleese Peterson-Cotton
Aleese Peterson-Cotton is a registered investment advisor at Northern Trust Securities, INC, based in San Francisco, CA, with 9 years of industry experience. Aleese is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management. Their firm serves 2,053 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1.0M - $5.0M | 0.85% |
| $5M+ | 0.75% |
Rates apply to Fund Strategist Portfolio, Strategist UMA, and Equity and Balanced SMA strategies. Fixed Income SMA strategies have a separate schedule starting at 0.55%. Manager fees and product-level fees are in addition to these advisory fees.
Fee Estimator
Location
San Francisco, CA
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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 Activities
Aleese is the sole owner of Aleese Peterson-Cotton Life Trust, an investment rental property, since 2017. She devotes no time to this business.
Employment History
Current Registrations
Northern Trust Securities, INC
Northern Trust Securities, INC.Broker
Northern Trust Securities, INC.
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Alphaflow Advisor, LLC
The Golub Group
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations4 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.
Exams
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