Stephen Smith
Stephen Smith is a registered investment advisor at Kestra Investment Management, LLC., based in Lakeway, TX, with 26 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 Investment Management. Their firm serves 4 clients with $4.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 0.50% |
Manager fees are negotiated between Kestra Investment Management and the affiliated professional, generally ranging from 0.00% to 0.50% of portfolio assets. Accounts at Charles Schwab & Co. may incur an additional manager administration fee of 0.00% to 0.05%.
Fee Estimator
Location
Lakeway, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Kestra Investment Management, LLC.
Kestra Advisory Services, LLC
Kestra Investment Services, LLCBroker
Kestra Investment Services, LLC
Previous Registrations
Avantax Investment Services, INC.Broker
Avantax Advisory Services
1st Global Capital CORP.Broker
1st Global Advisors INC
First Southwest Asset Management INC
First Southwest CompanyBroker
1st Global Advisors INC
1st Global Capital CORP.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations53 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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