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About Stern investment advisors,Llc. |
Stern Investment Advisors offers highly individualized
investment and portfolio management services to
professional athletes, owners of closely-held
businesses and their families, active stock and
commodities traders and a limited number of other
clients who have minimum portfolios of $100,000.
The firm takes great pride in its ability to customize
its investment services for this select group of
approximately 100 clients. Stern is a boutique
investment advisory that can rely on its depth of
experience and wide range of contacts, investment
vehicles and markets to develop and implement an
investment strategy that will carry clients and their
families well into the future.
Stern Advisors invests client funds as if they are its
own.
The firm entrusts National Financial Services, a
subsidiary of Fidelity Investments, with the execution
and custody of assets and relies on one of the nation's
largest insurance distributors as its financial
planning arm which designs and implements its clients'
life, health and long-term care insurance coverages. |
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General Information |
| Years of Experience in Financial Services: |
26
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| Work Experience: |
member chicago- board of trade
member chicago- board options exchange
financial advisor-Morgan Stanley
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| Name of Custodial Firm: |
national financial services
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| Number of Years with Current Firm: |
7
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| Insurance License#: |
345420239
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| Work with the following types of clients: |
Individual Investors, Non-Profit Organizations
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| Name of Broker/Dealer: |
RIA Stern Investment Advisors, LLC.
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| States Willing to do Business in: |
IL.
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Education |
| Academic Background |
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| University of Arizona 1975 Major in Psychology |
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Services |
| Investment Types: |
Mutual Funds, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, single stock futures
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| Can meet clients in the following ways: |
Phone, Our Office
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
n/a
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| Securities Licenses: |
Series 7, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Health, Annuity, Disability
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| Financial Organization Memberships: |
n/a
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Firm Information |
| Assets Managed by Firm: |
$23,000,000
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| Assets Managed by Advisor: |
423,000,000
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| Advisor's Number of Clients: |
100
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| Firm's Number of Clients: |
100
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| Advisor's Number of Planning Clients: |
0
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| Advisor's Number of Managed Clients: |
100
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| Firm's Number of Planning Clients: |
0
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| Firm's Number of Managed Clients: |
100
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Compliance |
| Criminal Disclosures in Last 5 years: |
Have a clean record
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| Compliance Disclosures in Last 5 years: |
Have a clean record
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| Registered Investment Advisor: |
Yes
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| Investment Advisor Representative: |
Yes
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| Acknowledged fiduciary: |
Yes
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Compensation and Fees |
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| Fee % Based on Assets: |
1%-2%
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| Additional Details on Charges: |
The firm no longer does financial planning
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| Compensation Methods: |
Based on Assets
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| Minimum Portfolio Size for New Managed Accounts: |
$100,000
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| Minimum Fee Charged for Managed Accounts: |
$1000.00
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| Minimum Fee Charged for Hourly Planning Accounts: |
n/a
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| Minimum Fee Charged for Flat Fee Accounts: |
n\a
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