Nicholas Thompson is a CFA-designated registered investment advisor at RBC Rochdale, LLC, based in New York, NY, with 6 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 17,054 clients with $73B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
RBC Rochdale offers investment management services with fees based on a percentage of the assets managed. The specific fees vary depending on the account type and the amount invested.
Annual Program Relationship Model:
Clients pay an annual investment advisory fee and an annual program fee. The investment advisory fee covers investment management services, while the program fee covers transaction costs and custodial services.
Transaction-Based Relationship Model:
Clients pay an annual investment management fee, transaction costs, and custodial fees.
Fees may be negotiable.
Location
400 Park Avenue, 10th Floor, New York, NY, 10022
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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
Nicholas owns two rental properties and acts as the property manager, handling tenant calls, bookkeeping, and maintenance. This activity requires minimal time.
Employment History
Current Registrations
RBC Rochdale, LLC
Cnr Securities, LLCBroker
Cnr Securities, LLC
Previous Registrations
Hartford Funds Distributors, LLCBroker
State Registrations20 states
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