Richard Hofmann-Warner
Richard Hofmann-Warner is a registered investment advisor at Ridgebrooke Capital Management LLC, based in Knoxville, TN, with 1 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Annuities, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 118 clients with $76M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.55% |
| $500K - $1.0M | 1.44% |
| $1.0M - $2.0M | 1.29% |
| $2.0M - $3.0M | 1.08% |
| $3.0M - $5.0M | 0.96% |
| $5.0M - $7.0M | 0.78% |
| $7.0M - $10.0M | 0.69% |
| $10M+ | 0.69% |
Fees for accounts of $10,000,000 and above are negotiable. Cash is included as an asset class in fee calculations. Fixed annuities have a separate fee schedule ranging from 0.60% to 0.99%.
Fee Estimator
Location
9729 Cogdill Rd., Suite 302, Knoxville, TN, 37932
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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 →Employment History
Current Registrations
Ridgebrooke Capital Management LLC
Previous Registrations
Nylife Securities LLCBroker
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.
Exams
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