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Ralph Romano

Capital Synergy Partners
50 Years of Experience
Highland Park, IL
1 DisclosureBrokerSells Insurance
View SEC Summary
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Ralph Romano is a registered investment advisor at Capital Synergy Partners, based in Highland Park, IL, with 50 years of industry experience. Ralph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 331 clients with $100M in assets under management.

Capital Synergy Partners
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
22 advisors
Number of Clients
331 clients
Average Client Portfolio
$309K average
Assets Under Management
$102.3M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.00%
$1M+1.75%

Fees are negotiable at the discretion of Capital Synergy Partners. Third-party money manager program fees will not exceed 1.5%.

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

Location

Highland Park, IL

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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.
Regulatory
July 2012
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ralph is the owner of Executive Planning Group, LLC, and sells fixed insurance products. He spends about a quarter of his time on this, with about 10-20% of his time during market hours.

Employment History
Current Registrations
Capital Synergy PartnersBroker
January 2021 - Present · 5 yrs 9 mos
Capital Synergy Partners
January 2021 - Present · 5 yrs 9 mos
Previous Registrations
Spc
May 2018 - December 2020 · 2 yrs 7 mos
Sigma Financial CorporationBroker
December 2017 - December 2020 · 3 yrs
Spc
December 2017 - April 2018 · 4 mos
Tlg Advisors, INC.
May 2015 - June 2017 · 2 yrs 1 mo
The Leaders Group, INC.Broker
February 2015 - June 2017 · 2 yrs 4 mos
Allstate Financial Services, LLCBroker
July 2013 - December 2014 · 1 yr 5 mos
Allstate Financial Advisors, LLC
June 2013 - December 2014 · 1 yr 6 mos
New England Securities Corporation
October 2005 - May 2013 · 7 yrs 7 mos
New England SecuritiesBroker
April 2005 - May 2013 · 8 yrs 1 mo
Linsco/private Ledger CORP.Broker
June 2004 - April 2005 · 10 mos
Linsco/private Ledger CORP.
June 2004 - April 2005 · 10 mos
Ws Griffith Securities, INC.
September 1999 - June 2004 · 4 yrs 9 mos
Ws Griffith Securities, INC.Broker
August 1997 - June 2004 · 6 yrs 10 mos
Princor Financial Services CorporationBroker
January 1997 - August 1997 · 7 mos
Mimlic Sales CorporationBroker
March 1995 - December 1996 · 1 yr 9 mos
Princor Financial Services CorporationBroker
January 1981 - February 1995 · 14 yrs 1 mo
John Hancock Mutual Life Insurance CompanyBroker
September 1975 - March 1981 · 5 yrs 6 mos
John Hancock Distributors, INC.Broker
September 1975 - March 1981 · 5 yrs 6 mos
State Registrations5 states
AZCACOILNY
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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