Charles Stephen And Company, Inc. (Albuquerque)


Charles Stephen And Company, Inc. is a large advisory firm based in Albuquerque. It manages $205 million of regulatory assets for 450 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New Mexico.

Charles Stephen And Company provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Charles Stephen And Company: assets under management

The assets under management (AUM) of Charles Stephen And Company, Inc. is $205 million. The firm's AUM has grown by 239% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $125 million in discretionary accounts and $80 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $416.67 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $533.33 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Charles Stephen And Company, Inc. for their services and products based on a percentage of assets under management and commissions. 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 Charles Stephen And Company, Inc.

Charles Louis Severino has been acting as President since 1 May 1983. Stephen Joseph Ciepiela joined the executive team most recently as the President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Charles Louis Severino President 1 May 1983 50% - 75% 872155
Stephen Joseph Ciepiela Vice president 1 May 1983 50% - 75% 706085
Lori Kay Murphy Chief operations officer 1 May 2001 Other 2632781
Stephen Joseph Ciepiela President 1 May 2004 75% - 100% 706085
Stephen Joseph Ciepiela President 1 Jun 2004 75% - 100% 706085

Based in Albuquerque

The principal office where Charles Stephen And Company, Inc. performs its advisory services is located at 5951 Jefferson Court Ne, Albuquerque, NM 87109 The mailing address of the firm is P.O. Box 35370, Albuquerque, NM 87176 5370. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 505-884-0451 or by fax 505-881-1333. The normal business hours are 8-5 on Monday - Friday. You can find more information about the New York firm at charlesstephen.com.