STEIN FINANCIAL LLC

Overview

Stein Financial LLC is a small, independent registered investment adviser run by an individual owner that focuses on high-net-worth individuals and families. The firm provides financial planning and portfolio management for individuals, small businesses, and business or institutional clients. Fee arrangements include an ongoing percentage-of-AUM component and fixed-fee engagements. Investment activity is concentrated in publicly traded equities delivered through exchange-traded instruments; the firm’s filings show a clear preference for liquid equity positions. Fixed income exposure shows up primarily as corporate debt. Stein Financial does not identify itself as an active ESG investor and does not act as a capital allocator to external alternative managers, instead using a mix of listed securities and third-party vehicles to implement client strategies.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices