Patrick Kelly is a registered investment advisor at Spc, based in Highlands Ranch, CO, with 41 years of industry experience. Patrick operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
Highlands Ranch, CO
Get directionsHistory
Regulatory History (9)
Customer Dispute
April 2025Judgment / Lien
December 2019Judgment / Lien
November 2016Customer Dispute
February 2016Judgment / Lien
February 2011Customer Dispute
December 2004Customer Dispute
August 2001Regulatory
August 1997Customer Dispute
January 1995Other Business Activities
Patrick is a board member and financial secretary (with no access to funds) for the Ancient Order of Hibernians. This takes minimal time and is not investment-related.
Employment History
Current Registrations
Spc
Previous Registrations
Sigma Financial CorporationBroker
Presidential Brokerage, INC.
Presidential Brokerage, INC.Broker
Stanford Group CompanyBroker
Kirkpatrick, Pettis, Smith, Polian INC.Broker
R a F Financial CorporationBroker
Hibbard Brown & CO., INC.Broker
Painewebber IncorporatedBroker
Hibbard Brown & CO., INC.Broker
Sherwood Capital, INC.Broker
First Jersey Securities, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.