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Richard Fontana

Raymond James & Associates, INC.
45 Years of Experience
Bedminster, NJ
1 DisclosureBroker
View SEC Summary
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Richard Fontana is a registered investment advisor at Raymond James & Associates, INC., based in Bedminster, NJ, with 45 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

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

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

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

Location

350 Main Street, Suites 4 & 5, Bedminster, NJ, 07921

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard serves on the Finance Committee of the Isles Yacht Club as an Advisory Board member, reviewing finances and making recommendations. He dedicates minimal time to this activity.

Employment History
Current Registrations
Raymond James & Associates, INC.
June 2013 - Present · 13 yrs 4 mos
Raymond James & Associates, INC.Broker
June 2013 - Present · 13 yrs 4 mos
Raymond James & Associates, INC.
June 2013 - Present · 13 yrs 4 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - July 2013 · 4 yrs 1 mo
Morgan Stanley
June 2009 - July 2013 · 4 yrs 1 mo
Citigroup Global Markets INC.
May 2002 - June 2009 · 7 yrs 1 mo
Citigroup Global Markets INC.Broker
September 1990 - June 2009 · 18 yrs 9 mos
Ryan, Beck & CO.Broker
March 1981 - September 1990 · 9 yrs 6 mos
State Registrations27 states
AZCACTDCDEFLHIINLAMAMDMEMNNCNHNJNMNVNYORPASCTXVAVTWAWV
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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