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CFP

Neil Anthes

Raymond James Financial Services Advisors, INC
9 Years of Experience
Westerly, RI
Broker
View SEC Summary
View SEC Summary

Neil Anthes is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Westerly, RI, with 9 years of industry experience. Neil is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

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

Location

85 Beach Street Unit 17A, Bldg D, Westerly, RI, 02891

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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

Neil is an officer and president of Sound Financial Partners, engaging in financial planning and investment management, dedicating about half his time during trading hours. He is also the owner/operator and CEO of Sound Financial Planning, LLC, dedicating about half his time to this business.

Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
January 2022 - Present · 4 yrs 9 mos
Raymond James Financial Services Advisors, INC
January 2022 - Present · 4 yrs 9 mos
Previous Registrations
Edward Jones
January 2017 - January 2022 · 5 yrs
Edward JonesBroker
November 2016 - January 2022 · 5 yrs 2 mos
State Registrations14 states
AZCACTFLILMAMDNCNYRITXVTWAWV
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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