Rothenberg Capital Management – Fees

There is no cost or obligation to meet with one of our advisors and have a personalized overview developed for you.

How we charge for our servicesFees
Annual Administrative Fee for Registered Accounts
If the market value is over $ 150,000$ 0
If the market value is between $ 100,000 to $ 150,000$60
If the market value is below $ 100,000$90
Tax- Free Savings Account$75
Registered Education Savings Plan$75
Stocks and ETFs
$ 3,000 – $ 25,0001.25% or $ 75 minimum
$ 25,000 – $ 50,0001.00%
$ 50,000 – $ 100,0000.75%
$ 100,000 and over0.50%
Purchase0.4% per year of term to a maximum of 3%
Sell0.3% per year of term to a maximum of 1%
Mutual Funds
Deferred Sales Charged FundsNo fees to purchase, fees if sold in a determined time frame
Front End Funds5%, no fee to sell
Lowload FundsNo cost to purchase - costs if sold before a determined time frame
Mutual fund switches2% cost per mutual fund switch
Cost Based Accounts
$1-$1 million in assets1.20% per annum deducted monthly
Next $1,000,000.50% " "
Next $1,000,000.30% " "
Above costs are blended
Other Service Charges
Partial account transfer-out$ 50
Full account transfer-out$150
Certificate registration$ 75
Partial registered plan de-registration$ 50
Full plan de-registration$ 75
Swap fee (per security)$ 25
Unscheduled RRIF withdrawal$ 25
Wire transfer$ 25
Certified cheque$ 25
Cheque – not sufficient funds/stop payment$ 25
DAP charge (per transaction)$ 50
Ineligible mutual fund (per month/per fund)$ 10
Drip enrollment (initial fee)$ 10
Securities held in safekeeping (minimum per month)$ 10
Any fees for services provided by other financial institutions will be charged through at cost.
Research fee (minimum and per hour)$ 50
Estate settlements$150