Ricky Romasanta
Ricky Romasanta is a registered investment advisor at Principal Securities, INC., based in San Jose, CA, with 10 years of industry experience. Ricky is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B 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 $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
101 Metro Dr Ste 375, San Jose, CA, 95110
Get directionsHistory
Regulatory History (1)
Customer Dispute
October 2025Other Business ActivitiesSells Insurance
Ricky works as an agent selling life and disability insurance. This investment-related activity takes about 10% of his time.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
State Registrations3 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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