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Steven Woods

Stirlingshire Investments
15 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Steven Woods is a registered investment advisor at Stirlingshire Investments, based in New York, NY, with 15 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, Annuities, Investment Management, Real Estate Investing, and 1 more. Their firm serves 1,071 clients with $240M in assets under management.

Stirlingshire Investments
Compensation
Fee-Only (% of Portfolio)
Firm Size
28 advisors
Number of Clients
1,071 clients
Average Client Portfolio
$228K average
Assets Under Management
$244.6M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K1.75%
$500K - $1.0M1.50%
$1.0M - $3.0M1.25%
$3.0M - $5.0M1.00%
$5.0M - $10.0M0.75%
$10M+0.50%

Fees are negotiable up to 2.00%. Portfolio management fees are calculated using a blended rate across tiers and billed monthly in arrears based on the average daily balance. Additional model marketplace fees of 20 to 100 basis points apply if selecting third-party model strategies.

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

Location

15 W 38th St., #704, New York, NY, 10018

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History

Regulatory History (1)
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
December 2020
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Steven is the CEO and Chairman of the Board of Stirlingshire Investments, Inc., the parent company of Stirlingshire BD LLC and Stirlingshire RIA LLC. He dedicates a few hours per week to this role outside of trading hours.

Employment History
Current Registrations
Stirlingshire Investments
September 2023 - Present · 3 yrs 1 mo
Stirlingshire InvestmentsBroker
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
Worden Capital Management LLCBroker
July 2017 - February 2021 · 3 yrs 7 mos
Laidlaw & Company (UK) LTD.Broker
December 2013 - July 2017 · 3 yrs 7 mos
Meyers Associates, L.P.Broker
October 2012 - December 2013 · 1 yr 2 mos
Buckman, Buckman & Reid, INC.Broker
August 2012 - October 2012 · 2 mos
John Thomas FinancialBroker
November 2009 - August 2012 · 2 yrs 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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