Stephen Kennedy
Stephen Kennedy is a registered investment advisor at B. Riley Wealth Advisors, INC., based in Chicago, IL, with 53 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 17,372 clients with $7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
B. Riley Wealth Advisors offers investment management through various programs. The Advisor-as-Portfolio Manager (APM) program allows your advisor to manage your account, potentially using outside managers. You'll pay an annual fee based on the value of your portfolio, which is negotiable up to a maximum. Transaction fees may be included or billed separately.
Third-Party Managed Programs are also available, utilizing the Envestnet platform. These programs also charge an annual fee based on the value of your portfolio, not exceeding 2.75%, which is negotiable. These programs may also be wrap fee programs.
Other third-party managed programs are available through Brinker, SEI, and AssetMark, with minimums starting at $500,000 for Brinker.
Location
200 South Wacker Drive, 700A, Chicago, IL, 60606
Get directionsHistory
Regulatory History (6)
Regulatory
February 2003Customer Dispute
January 2003Customer Dispute
May 2001Regulatory
November 1999Customer Dispute
February 1988Customer Dispute
January 1988Employment History
Current Registrations
B. Riley Wealth Advisors, INC.
B. Riley Wealth Management
B. Riley Wealth ManagementBroker
Previous Registrations
B Riley Wealth Management
Chicago Capital, INC.Broker
Stifel, Nicolaus & Company, IncorporatedBroker
The Chicago CorporationBroker
Bacon, Whipple & CO.Broker
Becker Securities IncorporatedBroker
William Blair & CompanyBroker
Bacon, Whipple & CO.Broker
State Registrations30 states
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.