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Steven Cooper

Dew Point Capital
15 Years of Experience
Los Angeles, CA
2 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Steven Cooper is a registered investment advisor at Dew Point Capital, based in Los Angeles, CA, with 15 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 618 clients with $510M in assets under management.

Dew Point Capital
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5 advisors
Number of Clients
618 clients
Average Client Portfolio
$830K average
Assets Under Management
$513.2M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Annual management fees range from 0.20% to 1.50% depending on strategy complexity and account size. Fees are negotiable.

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

Location

1019 E. 4th Pl., Los Angeles, CA, 90013

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History

Regulatory History (2)
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
May 2019
Final
Employment Separation After Allegations
July 2017
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Steven is a licensed insurance agent and may offer clients insurance products, which could present a conflict of interest. Clients are not required to purchase insurance through Steven.

Employment History
Current Registrations
Dew Point Capital
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Steel Peak Wealth Management, LLC
August 2017 - June 2019 · 1 yr 10 mos
UBS Financial Services INC.Broker
March 2014 - July 2017 · 3 yrs 4 mos
UBS Financial Services INC.
March 2014 - July 2017 · 3 yrs 4 mos
Edward Jones
December 2010 - March 2014 · 3 yrs 3 mos
Edward JonesBroker
November 2010 - March 2014 · 3 yrs 4 mos
State Registrations2 states
CATX
Advisor

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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