Business Description

Cornell Capital Management, based in Buffalo, New York, is a private investment management company. Founded in 1991, Cornell Capital Management custom designs investment portfolios for small to mid size companies and high net worth individuals in the US and abroad.
During the past 16 years Cornell capital Management has been recognized by Reuters as one of the Top Investment Advisors of 2008, by Morningstar as a 5 star rated investment advisor, by Nelsons Directory of Investment Advisors as one of the Top Investment Advisors in the World, by Money Manager Review as one of the Top Investment Advisors in The US, and by On Wall Street Magazine as one of the Top 50 Investment Advisors in the US.

General Information

Gender:

Male

CRD#:

120422

SEC File#:

801-56461

Name of Broker/Dealer:

Charles Schwab Institutional

States Licensed in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Former General Electric manager; worked with Jack Welsh/GE Corporate Headquarters. Cornell Capital Management President and CEO for 17 years.

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

Bachelor of Science degree - University of Utah (1979)
MBA - University of Utah (1980)

Services

Investment Types:

Mutual Funds, Stocks, Socially Responsible Investments (SRI)

Qualifications & Memberships

Non-Financial Organization Memberships:

President, Clarence Chamber of Commerce
Chairman, Clarence Industrial Development Agency

Firm Information

Number of Advisors in Office:

Up to 10 employees

I work with clients as part of a team:

Yes

Advisor's Number of Clients:

Advisor's Number of Managed Clients:

Advisor's Number of Planning Clients:

Assets Managed by Advisor:

$20,000,000

Compliance

Registered Investment Advisor:

Yes

I am an acknowledged fiduciary:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-only financial professional:

Yes

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100,000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

1.5%

Additional Details on Charges:

$100,000-$250,000 2.5%
$250,000-$1,000,000 1.5%
$1,000,000-$3,000,000 1.0%
$3,000,000-$5,000,000 .95%

Minimum Fee Charged for Managed Accounts:

$2,500

Prepared By:

David Hartzell

Most Recent Update:

10/01/2008