SF
SF

Stephen Wayne Fitzpatrick

22 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
18 advisors
Number of Clients
613 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$991.7M

Fee Structure

Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K3.00%
$500K - $1.0M2.25%
$1.0M - $2.0M1.90%
$2.0M - $5.0M1.70%
$5M+1.50%

This fee schedule applies to Elite, Elite Choice, Elite LIS and Elite LAAP platforms. The Elite Trade platform has a different fee schedule.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

5950 Sherry Lane, Suite 470, Dallas, TX, 75225

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History

Regulatory History
Clean regulatory record

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
Sanders Morris LLC
August 2017 - Present · 8 yrs 6 mos
Sanders Morris LLCBroker
October 2016 - Present · 9 yrs 4 mos
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
December 2005 - December 2005 · 0 mos
Legg Mason Wood Walker INC
April 2001 - December 2005 · 4 yrs 8 mos
Legg Mason Wood Walker, IncorporatedBroker
April 2001 - December 2005 · 4 yrs 8 mos
Bear, Stearns & CO. INC.Broker
August 1995 - May 2001 · 5 yrs 9 mos
Prudential Securities IncorporatedBroker
November 1992 - August 1995 · 2 yrs 9 mos
First Western Securities, INC.Broker
August 1992 - November 1992 · 3 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.