Steve Newman Financial Planning

CRD#304124
Investment Advisor Firm

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Overview

Steve Newman Financial Planning operates as a financial advisory company based in Irvine, California. Steve Newman Financial Planning has a small group of one employee who is a financial advisor. Steve Newman Financial Planning is not a registered broker-dealer, signifying that the firm is not able to buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer company to do so. Securities are defined as tradable fiscal investments like bonds, stocks and options.

Under $100,000 of its financial planning investments were in securities, with under $100,000 placed in non-securities.

Steve Newman Financial Planning's central office is located at 7700 Irvine Center Drive Suite 800, Irvine, California 92618. The company is registered to provide services to investors in the state of California.

Editorial note: In certain cases, firms can register as exempt reporting advisors with the SEC, meaning they file an abridged version of the Form ADV. As a result, this is all of the publicly available information for Steve Newman Financial Planning. Please visit the SEC website for more information at https://www.sec.gov

Number of Advisors

1

Disclosures

No

Office Location

7700 Irvine Center Drive Suite 800
Irvine, CA 92618

Steve Newman Financial Planning by the Numbers

Total Number of Employees

1

National Average: 29

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Products and Services

Steve Newman Financial Planning offers multiple financial services, which can consist of financial planning services, portfolio management for individuals and small businesses and other services. Notably, Steve Newman Financial Planning did not provide financial planning services to any of its customers in the last financial year. It does not sell products or offer services apart from investment advisory services to its investment advisory clients. The firm is also affiliated with one or more other service providers in the financial services industry, including with an accountant or accounting firm and real estate broker or dealer.

Core Advisor Services

  • Offered by 45% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

  • Find a firm that offers this service

    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

Fees charged by financial advisors largely are based on which service is offered. Fee types charged by Steve Newman Financial Planning likely are comprised of some combination of the following fee types: hourly or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the company.

Available

  • Offered by 35% of firms

    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.

  • Offered by 40% 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 74% of firms that offer this fee type

    Percentage of Assets

    Show Explanation

    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.

  • Find one of the 2% 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 17% 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 1% 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 12% 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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Disclosures

Steve Newman Financial Planning does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Steve Newman Financial Planning

Steven Newman
Irvine, CA

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This content was compiled from the SEC and FINRA