SH

Stephen Clay Holmes

13 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
5 advisors
Number of Clients
79 clients
Average Client Portfolio
$15.7M average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:$10M
Minimum Annual Fee:$10,000

Fees are negotiable and may be billed in advance or arrears. Publication fees for subscribers who are not investment advisory clients range from $7,500 to $15,000 annually, paid quarterly in advance. The firm provides investment services to bank trust departments, pension and profit sharing plans, other fiduciary institutions, and other institutional clients, which typically include negotiated fee schedules.

Areas of Practice
Investment Management
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Advisor Information

Office location

Highlands Ranch, CO

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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
January 2016
Final
Employment Separation After Allegations
January 1991
Customer Dispute
January 1981
Settled
Other Business Activities

Stephen is the Director of Business Development for PatientNow, Inc., a medical software development company, since 2013. Stephen dedicates about half of his time to this role, including four hours a day during securities trading hours.

Employment History
Current Registrations
Wright Investors Service INC
March 2017 - Present · 8 yrs 10 mos
Previous Registrations
Green Investment Management INC
December 2012 - March 2015 · 2 yrs 3 mos
Meeder Advisory Services, INC
June 2010 - November 2012 · 2 yrs 5 mos
Meeder Asset Management, INC
June 2010 - November 2012 · 2 yrs 5 mos
State Registrations1 state
CT
Advisor
Exams
No exam information available for this advisor.
Stephen Clay Holmes - Financial Advisor | AdvisorDiscover