Sfe Investment Counsel Inc

CRD#145530
Investment Advisor Firm

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Overview

Sfe Investment Counsel Inc operates as a financial advisory firm based in Los Angeles, California. The company oversees $388.8 million in assets throughout 758 client accounts, making it one of the bigger financial advisory firms in the country by assets under management (AUM). The company has a small group, including 7 financial advisors. Sfe Investment Counsel Inc is not a registered broker-dealer, meaning the company cannot buy and sell securities for its own accounts as well as its clients' and instead is required to go through a broker-dealer company to do so. Securities are exchangable fiscal investments such as stocks, options and bonds.

Sfe Investment Counsel Inc administers the majority of the company's accounts in a discretionary manner. Discretionary management means that transaction choices for the client's account are made by an investment advisor without needing client authorization. The company also has 42 non-discretionary accounts totaling $24.9 million in AUM. The firm's average account size is $512,947. An average financial advisor at Sfe Investment Counsel Inc manages around 108 client accounts.

The company's headquarters is located at 801 S. Figueroa Street, Los Angeles, California 90017. Sfe Investment Counsel Inc is registered to provide services to investors across a few states, including Arizona, California, Florida, Hawaii, Texas and Washington.

Assets Under Management

$388.8 million

Number of Advisors

7

Disclosures

No

Office Location

801 S. Figueroa Street
Los Angeles, CA 90017

Sfe Investment Counsel Inc by the Numbers

Total Assets Under Management

$388.8 million

National Average: $8.6 billion
Total Number of Employees

10

National Average: 64
Total Number of Accounts

758

National Average: 375,227
Average Account Size

$512.9 thousand

National Average: $23.0 thousand
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Fee Structure

Fees for financial management usually are based on which services are offered. However, fees billed by the company most likely are comprised of some blend of the following fee types: asset-based or fixed. The firm does not provide a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.

Available

  • Offered by 69% of firms

    Percentage of Assets

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    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 32% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 26% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Sfe Investment Counsel Inc manages money for a number of different customers. Sfe Investment Counsel Inc provides services to retail investors, high net worth investors, charitable organizations, other investment advisers, corporations and other. Out of its 758 accounts, Sfe Investment Counsel Inc's largest client type by number of accounts is retail investors, though it also serves 87 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the firm's clients are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 11.68%
  • Other Individuals - 86.44%
  • Corporations - 0.67%
  • Charitable Organizations - 1.21%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Sfe Investment Counsel Inc does not have any disclosures.

Please visit its Form ADV for more details.

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