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Other Names: Phil Fratto
Additional Firm:
Type: Dual Registration

Philip Fratto is a financial professional at Investment Advisors Asset Management, LLC, a $417M RIA based in Downtown Historic District, PA. Philip is also registered with Royal Alliance Associates, Inc., a broker-dealer with over 2,050 registered representatives nationwide. Philip has held an industry securities registration for 31 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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Philip Charles Fratto has not answered any questions on Financial Q&A.

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Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Royal Alliance Associates 7 years, 5 months Nov 2006 - Present
Investment Advisors Asset Management, LLC 10 years, 3 months Jan 2004 - Present
Investment Advisors & Consultants, Inc. 15 years, 2 months Sep 1991 - Nov 2006
Harbour Master Diversified Financial Services, Inc. 31 years, 6 months Oct 1982 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/07/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 02/19/2004
Uniform Securities Agent State Law Examination Series 63 07/18/1984
Direct Participation Programs Representative Examination Series 22 08/26/1983
Investment Company Products/Variable Contracts Representative Examination Series 6 12/04/1981

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees