Broker Check
 

How Our Team Is Compensated

At Regent Financial Services / Drawbridge Capital, our compensation varies based on the goals and needs of each client. We offer a complimentary consultation to learn about you. At that meeting we analyze your specific situation to recommend the structure that’s right for you. Below is a brief description of the different kinds of compensation structures we offer.  

Advisory Fees

We are compensated by a quarterly management fee for clients who have a long-time horizon but are not seeking a pure buy-and- hold investment strategy. They prefer a “managed portfolio.” The fee is equal to a small percentage of a client's assets and will be based on the account size and investment objectives. Typical asset management fees range from 2.0% per year on the high side to 0.5% on the low side.

Commissions

We are compensated by commissions or sales charges for clients who prefer a pure buy-and- hold investment strategy or have a need for risk management products. These may include insurance products, annuities, and many non-publicly traded investments such as REITs.

Consulting Fees

We are compensated by consulting fees when our clients need a professional opinion on a variety of financial issues but want to remain free to implement any recommended course of action “on their own.” Comprehensive financial plans, 401(k) plan allocations, and social security evaluations are examples of services that work well under this structure. These services are available on an hourly basis ($150/hour) or for a flat fee.