Steven Moats
Steven Moats is a registered investment advisor at Newedge Advisors, based in Denver, CO, with 23 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 49,898 clients with $43B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 2.25% |
| $1.0M - $2.0M | 2.00% |
| $2M+ | 1.75% |
Schedule reflects the primary Equity and Balanced Advisors Choice program. The firm imposes a maximum annual fee of 1.75% for new accounts opened after December 31, 2025, though older accounts may have rates up to 2.50%. Additional program schedules exist for fixed income, mutual fund strategies, and third-party manager programs. Fees are negotiable.
Fee Estimator
Location
1040 S. Gaylord Street, Ste #3, Denver, CO, 80209
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2011Other Business ActivitiesSells Insurance
Steven may earn commissions from insurance companies for sales of non-variable life, health, medicare, annuity, disability, and/or long-term care insurance products. He also owns a vacation home/rental property, dedicating minimal time to it.
Employment History
Current Registrations
Newedge Advisors
Newedge Securities, LLCBroker
Previous Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Janus Distributors, INC.Broker
State Registrations12 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.
Exams
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