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CFP
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CFP

Caroline Knights

Commonwealth Financial Network
5 Years of Experience
North Kingstown, RI
BrokerSells Insurance
View SEC Summary
View SEC Summary

Caroline Knights is a CFP-designated registered investment advisor at Commonwealth Financial Network, based in North Kingstown, RI, with 5 years of industry experience. Caroline is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2913 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

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

Location

North Kingstown, RI

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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.

Learn about disclosures →
Other Business ActivitiesSells Insurance

Caroline is involved in fixed insurance sales, dedicating minimal time to this activity. This activity is investment-related and conducted at a branch location.

Employment History
Current Registrations
Commonwealth Financial Network
August 2023 - Present · 3 yrs 2 mos
Commonwealth Financial Network
July 2021 - Present · 5 yrs 3 mos
Commonwealth Financial NetworkBroker
July 2021 - Present · 5 yrs 3 mos
State Registrations4 states
FLMANHRI
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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