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Stephen Kaufman

Vanderbilt Advisory Services
33 Years of Experience
Freehold, NJ
3 DisclosuresBroker
View SEC Summary
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Stephen Kaufman is a registered investment advisor at Vanderbilt Advisory Services, based in Freehold, NJ, with 33 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
—
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Location

Freehold, NJ

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History

Regulatory History (3)
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
June 2017
Final
Customer Dispute
September 2016
Settled
Employment Separation After Allegations
July 2016
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is the Founder and President of Quality Financial Concepts, Inc., an investment-related role where he performs all functions associated with an investment adviser representative, dedicating all of his time. Additionally, Stephen spends about 10% of his time on tax preparation services, which is not investment related.

Employment History
Current Registrations
Vanderbilt Advisory Services
September 2016 - Present · 10 yrs 1 mo
Vanderbilt Securities, LLCBroker
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
LPL Financial LLCBroker
January 2011 - August 2016 · 5 yrs 7 mos
LPL Financial LLC
January 2011 - August 2016 · 5 yrs 7 mos
Raymond James Financial Services Advisors, INC
January 2009 - January 2011 · 2 yrs
Raymond James Financial Services
March 2007 - January 2009 · 1 yr 10 mos
Raymond James Financial Services
June 2005 - November 2005 · 5 mos
Raymond James Financial Services, INC.Broker
February 2005 - January 2011 · 5 yrs 11 mos
UBS Financial Services INC.
May 2002 - February 2005 · 2 yrs 9 mos
UBS Financial Services INC.Broker
February 1994 - February 2005 · 11 yrs
Everen Securities, INC.Broker
September 1993 - March 1994 · 6 mos
State Registrations4 states
CTFLNJNY
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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