Alixis Roccia is a registered investment advisor at Principal Advised Services, based in Charlotte, NC, with 3 years of industry experience. Alixis is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 23,164 clients with $1.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 0.50% |
Annual fee of up to 0.50% of the daily value of managed account assets. The fee structure is tiered and negotiable by the plan sponsor.
Fee Estimator
Location
401 McCullough Dr Ste 200, Charlotte, NC, 28262
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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
Alixis coaches at Marvin Ridge High School and works as a Retirement Consultant for Principal Advised Services, offering investment advice to retirement plan participants on a full-time basis.
Employment History
Current Registrations
Principal Advised Services
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Principal Securities, INC.
State Registrations51 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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