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Stephen Ferencik

Arkadios Wealth Advisors
27 Years of Experience
Atlanta, GA
9 DisclosuresBroker
View SEC Summary
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Stephen Ferencik is a registered investment advisor at Arkadios Wealth Advisors, based in Atlanta, GA, with 27 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 Alternative Investments, Business Owners, Estate Planning, High Net Worth, and 3 more. Their firm serves 14,886 clients with $8.8B in assets under management.

Arkadios Wealth Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
220 advisors
Number of Clients
14,886 clients
Average Client Portfolio
$590K average
Assets Under Management
$8.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K1.75%
$500K+1.50%

Rates reflect maximum annual fees for Crest Accounts. Third-party manager accounts have a separate schedule ranging up to 2.25%. Fees are negotiable.

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

Location

2827 Peachtree Rd NE, Suite 510, Atlanta, GA, 30305

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History

Regulatory History (9)
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
May 2020
Closed-No Action
Customer Dispute
April 2020
Settled
Customer Dispute
November 2010
Settled
Customer Dispute
June 2010
Settled
Customer Dispute
May 2010
Settled
Employment Separation After Allegations
February 2010
Customer Dispute
March 2007
Settled
Customer Dispute
December 2004
Denied
Customer Dispute
July 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen is the president of SJF Capital LLC for tax purposes, a non-investment related activity. He dedicates minimal time to this endeavor.

Employment History
Current Registrations
Arkadios Wealth Advisors
April 2020 - Present · 6 yrs 6 mos
Arkadios CapitalBroker
January 2017 - Present · 9 yrs 9 mos
Previous Registrations
Triad Advisors, INC.Broker
April 2011 - February 2017 · 5 yrs 10 mos
Acg Wealth INC.
August 2010 - March 2021 · 10 yrs 7 mos
UBS Financial Services INC.Broker
September 2005 - March 2010 · 4 yrs 6 mos
UBS Financial Services INC.
September 2005 - March 2010 · 4 yrs 6 mos
Morgan Stanley
February 2003 - October 2005 · 2 yrs 8 mos
Morgan Stanley Dw INC.Broker
December 1998 - October 2005 · 6 yrs 10 mos
State Registrations14 states
CADEFLGALAMIMONCNYOHSCTXVAVT
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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