SFE Investment Counsel Inc.
Firm details
- Headquarters
- Los Angeles, California
- CRD number
- 145530
- Registered since
- October 24, 2007
- Website
- www.sfeic.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI62.23%
- Individuals26.31%
- Charitable Organizations9.42%
- Corporations / Businesses1.22%
- Other0.82%
- Services
- Portfolio Management for IndividualsPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
SFE Investment Counsel Inc. is an independent registered investment adviser that has been SEC-registered since 2007. The firm serves both individual and family clients as well as institutional accounts, and it runs discretionary portfolio management for individuals, small businesses and for businesses or institutions. Ownership is a mix of a domestic entity and an individual; fee arrangements include both percentage-of-AUM and fixed-fee structures. The firm is equity-oriented by stated preference and does not identify as an active ESG investor. It also lists roles as sponsor, general partner and managing member of pooled investment vehicles, indicating participation in structuring or operating private pooled vehicles in addition to providing advisory services.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities86%
- Public Funds/Mutual Funds7%
- Cash & Cash Equivalents7%
Owners & executives
3 of 4
James Moylan
Vice President, Co-Chief Investment OfficerCRD 5292132
Teri Mccasland
Secretary & Chief Compliance OfficerCRD 1005907
Jon Kmett
President, Chief Financial OfficerCRD 1918840
Contacts
3 of 8
David Thomsen
Vice President of Business DevelopmentCRD 4809052
Edward Ternan
Financial AdvisorCRD 4942384
Jeffrey Eisfelder
ShareholderCRD 2860100
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 43Active vs passive
$100M in ETFs
96%
$96.8M
3%
$3.7M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO BULLETSHARES 2028 HIGH YIELD CORPORATE BOND ETF (BSJS) | Invesco | Passive | High Yield Bond | $8.5M | 390,757 | 8.46% |
Location
Los Angeles, CA
Los Angeles
Location
Los Angeles, CA
Headquartered in Los Angeles, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.
- Metro area
- Los Angeles-Long Beach, CA
- Region
- West
- County
- Los Angeles
- Address
- 801 S Figueroa St
- Time zone
- PT (UTC-8)
- Office locations
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