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Kenneth Alter

Stifel, Nicolaus & Company, Incorporated
35 Years of Experience
Los Angeles, CA
6 DisclosuresBroker
View SEC Summary
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Kenneth Alter is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Los Angeles, CA, with 35 years of industry experience. Kenneth is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2121 Avenue of the Stars (Fox Plaza), Suite 2100 & 2150, Los Angeles, CA, 90067

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History

Regulatory History (6)
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.
Regulatory
December 2017
Final
Employment Separation After Allegations
July 2015
Customer Dispute
August 2012
Denied
Customer Dispute
August 2012
Denied
Customer Dispute
September 2005
Denied
Customer Dispute
June 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kenneth is co-owner of commercial real estate housing his wife's business and owns multiple rental properties, including vacation rentals and a vineyard estate. He also manages Alter Family Holdings LLC, a family investment company, spending minimal time on it.

Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
August 2015 - Present · 11 yrs 2 mos
Stifel, Nicolaus & Company, Incorporated
August 2015 - Present · 11 yrs 2 mos
Previous Registrations
Morgan Stanley
June 2009 - August 2015 · 6 yrs 2 mos
Morgan StanleyBroker
June 2009 - August 2015 · 6 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
July 1997 - April 2007 · 9 yrs 9 mos
Morgan Stanley Dw INC.Broker
June 1991 - April 2007 · 15 yrs 10 mos
State Registrations17 states
AZCAFLILMOMTNCNJNVNYOHORPAPRTNTXUT
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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