Ricardo Rosenberg
Ricardo Rosenberg is a registered investment advisor at Sargent Investment Group, based in Bethesda, MD, with 44 years of industry experience. Ricardo operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 407 clients with $1.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SIG charges an annual advisory fee based on a tiered schedule of your portfolio's value, paid quarterly in advance. The maximum standard fee is 1%, but can be 1.25% if the $2 million household minimum is waived. Fees and minimums are negotiable. SIG excludes cash balances from the assets used to calculate the advisory fee, but includes cash equivalent money market funds and traded cash-like mutual funds or ETFs.
Location
4920 Elm Street, Suite 305, Bethesda, MD, 20814
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 2008Other Business Activities
Ricardo is the trustee for his wife's trust, which is invested in several LLCs related to investment properties. He has minimal duties and spends no time on these activities.
Employment History
Current Registrations
Sargent Investment Group
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Thomson Mckinnon Securities INC.Broker
State Registrations2 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.