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Stephen Walker

Vanderbilt Advisory Services
32 Years of Experience
Bryn Mawr, PA
4 DisclosuresBroker
View SEC Summary
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Stephen Walker is a registered investment advisor at Vanderbilt Advisory Services, based in Bryn Mawr, PA, with 32 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, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 6,470 clients with $2.1B in assets under management.

Vanderbilt Advisory Services
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
166 advisors
Number of Clients
6,470 clients
Average Client Portfolio
$326K average
Assets Under Management
$2.1B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Minimum Annual Fee:$90
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.50%
$100K - $250K2.25%
$250K - $500K2.00%
$500K - $1.0M1.75%
$1.0M - $2.0M1.50%
$2.0M - $5.0M1.25%
$5.0M - $10.0M1.00%
$10M+0.75%

Firm also offers threshold billing, flat percentage, and flat annual fee structures. Fees are negotiable.

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

Location

611 Rose Lane,, Bryn Mawr, PA, 19010

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History

Regulatory History (4)
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.
Employment Separation After Allegations
May 2024
Financial
September 2020
Final
Customer Dispute
July 2010
Settled
Customer Dispute
May 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is the author of finance books and provides research consulting and public speaking services through Stratosphere, LLC, dedicating about 10% of his time. He also uses Wealth Devil, LLC for accounting purposes, spending minimal time on it.

Employment History
Current Registrations
Vanderbilt Advisory Services
April 2024 - Present · 2 yrs 6 mos
Vanderbilt Securities, LLCBroker
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Kingswood Wealth Advisors, LLC
February 2024 - April 2024 · 2 mos
Kingswood Capital Partners, LLCBroker
February 2024 - April 2024 · 2 mos
Aegis Capital CORP.
July 2020 - March 2024 · 3 yrs 8 mos
Aegis Capital CORP.Broker
July 2020 - March 2024 · 3 yrs 8 mos
RBC Capital Markets, LLCBroker
March 2015 - June 2020 · 5 yrs 3 mos
RBC Capital Markets, LLC
March 2015 - June 2020 · 5 yrs 3 mos
Oppenheimer & CO. INC.Broker
October 2010 - April 2015 · 4 yrs 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - May 2010 · 11 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
March 2001 - April 2007 · 6 yrs 1 mo
Deutsche Banc Alex. Brown INC.Broker
January 2001 - March 2001 · 2 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
July 1993 - September 1997 · 4 yrs 2 mos
State Registrations9 states
CADEFLGANCNJNYPATX
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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