Stein Roe & Farnham Inc (Chicago)

Name: Stein Roe & Farnham Inc
Address: One South Wacker Drive, Chicago, IL, 60606
Telephone: 312-368-7700

Stein Roe & Farnham Inc is a large advisory firm based in Chicago. It manages $12.16 billion of regulatory assets for 2,014 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 46 other states.

Stein Roe & Farnham provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Stein Roe & Farnham: assets under management

The assets under management (AUM) of Stein Roe & Farnham Inc is $12.16 billion. The firm's AUM has gone down by -58% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.22 billion in discretionary accounts and $942.71 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $53.94 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $521.99 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Stein Roe & Farnham Inc for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Stein Roe & Farnham Inc

Stephen Eugene Gibson has been acting as President since 1 Jan 2001. Martha Ellen Fox joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Douglas Andrews	Executive vice president	1 Dec 1995	Other	5992
Loren Albert Hansen	Executive vice president	1 Dec 1995	Other	825216
Harvey Bernard Hirschhorn	Executive vice president	1 Dec 1995	Other	1829869
Joseph Robert Palombo	Executive vice president, chief operating officer and director	1 Jan 1999	Other	2543562
Bonny Eugenia Boatman	Executive vice president	1 Mar 1999	Other	2362425
Liberty Funds Group Llc	Direct parent of stein roe & farnham incorporated	1 Jan 2001	75% - 100%	04-2880152
Linda Begley	Compliance officer	1 Jan 2001	Other	2346275
Kevin Michael Carome	Executive vice president	1 Jan 2001	Other	4307331
Stephen Eugene Gibson	President	1 Jan 2001	Other	1350488
Philip John Iudice	Treasurer and chief financial officer	1 Nov 2001	Other	2036589
Keith Banks	President, chief investment officer and director	1 Nov 2001	Other	2460880
Roger Sayler	Director	1 Nov 2001	Other	1920994
Jean Susan Loewenberg	Clerk and chief legal officer	1 Nov 2001	Other	1811391
Keith Thomas Banks	President, ceo, chief investment officer, chairman and director	1 Nov 2001	Other	2460880
Roger A Sayler	Director and executive vice president	1 Nov 2001	Other	1920994
Martha Ellen Fox	Chief compliance officer	1 Jan 2003	Other	1647590

Indirect Owners

The SEC currently registers 11 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Liberty Financial Companies	Direct parent of liberty financial services, inc.	1 Oct 2000	75% - 100%	04-3260640
Lfc Management Corporation	Majority shareholder of liberty financial companies, inc.	1 Oct 2000	50% - 75%	04-3441689
Inc. Lfc Holdings	Direct parent of lfc management corporation	1 Oct 2000	75% - 100%	04-3119501
Inc. Liberty Corporate Holdings	Direct parent of lfc holdings, inc.	1 Oct 2000	75% - 100%	04-3401639
Liberty Mutual Equity Corporation	Direct parent of liberty corporate holdings, inc.	1 Oct 2000	75% - 100%	04-3119508
Liberty Mutual Insurance Company	Direct parent of liberty mutual equity corporation	1 Oct 2000	75% - 100%	04-1543470
Inc. Liberty Financial Services	Direct parent of liberty funds group llc	1 Jan 2001	75% - 100%	04-2880152
Inc. Fleet/Liberty Holdings	Sole member of liberty funds group llc	1 Nov 2001	75% - 100%	00-0000000
Fleet National Bank	Sole shareholder of fleet/liberty holdings, inc.	1 Nov 2001	75% - 100%	04-2472499
Fleetboston Financial Corporation	Sole shareholder of fleet national bank	1 Nov 2001	75% - 100%	05-0341324
Inc. Columbia Management Group	Sole member of liberty funds group llc	1 Nov 2001	75% - 100%	01-0547933

Based in Chicago

The principal office where Stein Roe & Farnham Inc performs its advisory services is located at One South Wacker Drive, Chicago, IL 60606, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 312-368-7700 or by fax 312-368-5771. The normal business hours are 8:30 a.m. - 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at steinroe.com/.