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Stephen Pierce

International Assets Investment Management, LLC
35 Years of Experience
Spanish Fort, AL
2 DisclosuresBroker
View SEC Summary
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Stephen Pierce is a registered investment advisor at International Assets Investment Management, LLC, based in Spanish Fort, AL, with 35 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 5,961 clients with $2.6B in assets under management.

International Assets Investment Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
121 advisors
Number of Clients
5,961 clients
Average Client Portfolio
$431K average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Fees are negotiable up to an annual maximum of 3.00% depending on portfolio size, transaction fee inclusion, and service complexity.

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

Location

9812 Millwood Circle, Spanish Fort, AL, 36527

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History

Regulatory History (2)
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.
Customer Dispute
April 2017
Award / Judgment
Customer Dispute
January 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is a partner at Rockbridge Wealth Management, dedicating full-time hours to sales and service. He is also an advisor with International Assets Investment Management LLC, spending about half his time there and receiving fee-based compensation.

Employment History
Current Registrations
International Assets Investment Management, LLC
July 2017 - Present · 9 yrs 3 mos
International Assets Advisory, LLC
June 2017 - Present · 9 yrs 4 mos
International Assets Advisory, LLCBroker
June 2017 - Present · 9 yrs 4 mos
Previous Registrations
Wfg Investments, INC.Broker
April 2010 - May 2017 · 7 yrs 1 mo
Rockbridge Asset Management, LLC
July 2005 - February 2010 · 4 yrs 7 mos
Veritas Asset Management, LLC
June 2005 - June 2005 · 0 mos
Gunnallen Financial, INC
March 2005 - June 2005 · 3 mos
Gunnallen Financial, INCBroker
March 2005 - March 2010 · 5 yrs
Gunnallen Financial, INC
March 2005 - March 2005 · 0 mos
Wachovia Securities Financial Network, LLC
November 2002 - March 2005 · 2 yrs 4 mos
Wachovia Securities Financial Network, LLCBroker
November 2002 - March 2005 · 2 yrs 4 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 1995 - December 2002 · 7 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1995 - December 2002 · 7 yrs 7 mos
Smith Barney INC.Broker
July 1993 - April 1995 · 1 yr 9 mos
Lehman Brothers INC.Broker
May 1992 - July 1993 · 1 yr 2 mos
F.N. Wolf & CO., INC.Broker
August 1991 - May 1992 · 9 mos
State Registrations7 states
ALFLGALAMIMSTX
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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