SPC

RIASEC RegisteredEst. 1984
Total AUM
$6.1B
Discretionary
$6.1B
100% of AUM
Avg account
$231K
Accounts
26,433
Employees
471
Advisory reps
475

Firm details

Headquarters
Ann Arbor, Michigan
CRD number
110692
Registered since
January 11, 1984
Website
www.sigma4clients.com
Custodians
NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types
  • Individuals67.92%
  • HNWI28.38%
  • Corporations / Businesses3.11%
  • Pension & Profit Sharing Plans0.46%
  • Charitable Organizations0.13%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

SPC is an independent registered investment adviser that serves both individual and institutional clients. The firm provides financial planning and portfolio management for individuals, small businesses and institutions, and also offers pension consulting, selection-of-other-advisers services and educational workshops. Its client-fee arrangements include percentage-of-AUM billing as well as hourly, fixed and other fee structures. SPC maintains business relationships with broker-dealers and insurance firms and performs some pension-consulting type work.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 67%, Exchange Traded Equities 25%, Cash & Cash Equivalents 6%, US Government Bonds 1%, State & Local Bonds 1%67%
  • Public Funds/Mutual Funds67%
  • Exchange Traded Equities25%
  • Cash & Cash Equivalents6%
  • US Government Bonds1%
  • State & Local Bonds1%

Owners & executives

3 of 11
  • Stephen Nichols

    Stephen Nichols

    Chief Technical OfficerCRD 2456067

  • Nicholas Stroia

    Nicholas Stroia

    CEOCRD 2578559

  • Jon Fletcher

    Jon Fletcher

    Chief Investment OfficerCRD 2246824

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Contacts

3 of 464

  • Michael Caslin

    Investment AdvisorCRD 6728865

  • Cyle Gillman

    Cyle Gillman

    Investment Advisor RepresentativeCRD 7123656

  • Ryan Benter

    Ryan Benter

    Registered RepresentativeCRD 7540609

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 905

Active vs passive

$2.8B in ETFs

Passive

78%

$2.2B

Active

17%

$635M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$212M282,7737.51%
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Location

Primary office

Ann Arbor, MI

Washtenaw

Location

Ann Arbor, MI

Headquartered in Ann Arbor, MI, anchoring the Detroit-Warren-Ann Arbor, MI metro in the Midwest.

Metro area
Detroit-Warren-Ann Arbor, MI
Region
Midwest
County
Washtenaw
Address
300 Parkland Plz
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth