Nicholas Raffin
Nicholas Raffin is a registered investment advisor at The Raffin Group LLC, based in Los Altos Hills, CA, with 10 years of industry experience. Nicholas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 69 clients with $29M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 0.50% |
Fees are negotiable.
Fee Estimator
Location
Los Altos Hills, 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 ActivitiesSells Insurance
Nicholas is an independent licensed insurance agent. He is also a limited partner and advisor to the president of Rowzzy, an AI startup, dedicating a few hours per week to this role.
Employment History
Current Registrations
The Raffin Group LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Lampert Capital Markets INC.Broker
State Registrations5 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.