BECK CAPITAL MANAGEMENT LLC

Transcription

1 List Investment Management Firms - Broker-dealers & RIAs (Master) (217) Date submitted: March 31, 217 1:41PM Respondent Name: Frank Beck via Simple Submit Respondent Contact: BECK CAPITAL MANAGEMENT LLC Investment Management Firms: Broker-dealer firms and RIA firms. fka Wealth Management list (revised survey) DUE DATE: 3/28/217 Contact the Researcher Research Director: Patricia Rogers progers@bizjournals.com See bottom of page for submission instructions OR about how to save responses & return later to finish. In particular, please note that the "DOWNLOAD PDF" option is not working; choose the "VIEW Printer friendly version" option and then print/ save as pdf from you desktop menu.) This Wealth Management Firms, now called Investment Management Firms, is for firms that specialize in investment management services. To be qualified for this list, your Austin office must be registered with the SEC or Texas as either a Broker-Dealer Firm or Registered Investment Advisory Firm (RIA). our Austin office must be able to disclose Assets under Advisement (AUA). (Previous lists ranked by Assets under Management.) Business name Beck Capital Management LLC Address 1: Street number/name 29 S. Capital of Texas Hwy. City Austin County Travis Phone State Texas Address 2: Bldg. & Ste. # #2 Zip Is this your global headquarters? Website BeckCapitalManagement.com Headquarters: City/State Austin ear Founded Locally 26 Parent Company Name Type of Industry: Select At Least One Financial Services; Investment Management Type of Ownership: Select One Private Section I. Type of Firm and services offered: Answer for the Austin operations as a whole. Type of Wealth Management Firm. Pick all that apply. <<< Firms, not people, must hold Broker-Dealer or RIA Registration for this list. Affiliated firms with IARs may not be eligible for this list if they cannot separate AUA from their BD or RIA affiliate. Instead of Wealth Management survey, please request the financial Planning Firm's survey ranked by CFPs. registered broker-dealer firm registered investment advisory firm (RIA) investment advisory rep. affiliated with RIA firm comprehensive financial planning firm none of the above Does your firm handle investments only? (/N) N Does your firm do both investments and financial planning? (/N)

2 Is your firm a fee-only firm (/N)? If your firm does both investments and financial planning, briefly describe how financial planning service is handled in conjunction with RIA or BD investment management services. Please limit to 15-2 words. Financial plan is done in conjunction with opening accounts to be managed. Plans are updated, generally, on an annual basis. <<< Financial planning services: *If not applicable, but N/A. *Indicate if financial plans are integrated with RIA or BD investment services. *Mention if clients overlap all the time or some of the time. Mention anything else relevant to representing how your firm services clients across these segments. Section II. Affiliations & percents Please indicate if "self" by providing your RIA Firm name or Broker-dealer firm name. If no affiliation, put 'None." % Business: Broker-Dealer investment services (buying & selling of securities; must be registered with SEC or State of Texas) % Business: Other Affiliation, Broker-Dealer N/A % RIA investment services (Must be registered with SEC or State of Texas) 1 What does other percent represent? (Such as, but not limited to insurance, mutual funds, nontraded investments (REITS, Oil & gas) To be qualified for the Broker-Dealer category, your firm must be a registered B-D firm with the SEC, or Texas, and be able to disclose B-D assets under advisement/management by the Austin office. To be qualified for the RIA Firm's category, your firm must be a registered RIA Firm with the SEC, or in Texas, and be able to disclosed RIA assets under advisement by the Austin office. Affiliation, RIA Beck Capital Management LLC If you cannot disclose Austin office AUA or your office works under an affiliate's RIA, you most likely need to participate on the Financial Planning Firm's list instead. Section III. Investment style and number of clients: Wealth Manager Primary Client Base Investment Style. Limit to15 words or less. Institutional style investing for individuals including stocks, bonds, real estate, precious metals, other. large institutions private clients % Austin office revenue: Fee based 1 % Austin office revenue: Commission based Section IV. Assets Under Advisement and clients: Note: Previous surveys asked for Assets under Management. If you firm doesn't have Assets under Advisement, you can use AUM. AUM will require a footnote to explain the difference. Please me so that I can be sure to represent your firm accurately. Answer for the Austin operations as a whole. Use entire whole numbers to nearest dollar. No decimals, $ signs. Example: 12 (NOT: 1.2) Austin office: RIA Assets Under Advisement by the Austin office [HIstorical; don't edit] Local office: RIA Assets Under as of March 217 Management by the Austin office as of March ,, 31,,

3 Austin office: Broker-Dealer Assets Under Advisement (AUA) by [Historical; don't edit] Local office: Broker-Dealer Assets Under the Austin office as of March 217 Management by the Austin office as of March 216 Companywide: Total Assets Under Advisement as of March ,, Austin office: # RIA clients [HIstorical; don't edit] Companywide: Assets Managed as of March ,, Austin office: # Broker-dealer clients 217 Section V. Employees: 217 # Investment Advisor Reps (IARs) # Cert. Financial Planners (CFP) Austin office: Total Local Employees [Historical; don't edit] Total Local Employees Contact & Executives Top local executive is required for all companies. Top local exec: Primarily for top C-level person, such as managing partner, managing director, CEO, etc.) Note: Space is limited. Only one name can typically be printed. *Put all other top Austin execs and division execs below in "Key Personnel." Top local executive(s) Frank Key Personnel Beck President/Chief investment analyst Frank Melanie John Jerry Bill Dr. Lew Beck Johnson Melanie@BeckCapitalManagement.com McGhee McIlhon Jerry@BeckCapitalMgmt.com Gregory Bill@BeckCapitalManagement.com Spellman, Phd President/Chief investment analyst senior investment advisor Market Analyst VP insurance services Chief Compliance Officer Investment Committee Vice Chair

4 Justin Beverly Kathleen Keith Trennis Debbie Sandy Janet Simmons Glenn Collins Schnelle Jones Northcutt Castillo McIlhon VP professional athletes advisor front office manager office manager Solicitor Solicitor Accounting Office Manager Personal Assistant TO SAVE THE SURVE AND RETURN TO IT LATER: Select CONTINUE at the bottom of this screen when ready to save, then close your browser window. Do not select "NET" or "SUBMIT" if you wish to return to your survey later. ou may access the survey at a later time by using the link provided in the and selecting EDIT next to your company name. (Selecting "NET" will submit the survey and take you to the poll page, if a poll is included. ) Viewing a copy of survey will not show data at this point. That function will not show your answers until you complete & submit the survey. Until then, it will show blank. Call Patricia if you need to change something after submission. font size="+2">to SUBMIT THE SURVE: When ready to submit, select CONTINUE and then NET on the following screen. Enter your name and address and select SUBMIT to submit your survey. There will NOT be an opportunity to edit your responses after you submit the survey. If you accidentally submit your survey prior to completion, contact the researcher. After you submit survey, you will advance to a "Thank you" screen, which will include options to view a printer friendly a copy of your completed survey. ("Download PDF" option is not working; choose the "VIEW printer friendly version" option. Then print/ save as pdf from you desktop menu.)

5 Please complete in the space below a detailed and expanded description of your organization/company, roughly 15 to 25 words. Avoid any statements which can not be independently verified. Items to discuss include but not limited to are your organization s business description, a detailed explanation of current operations, its history, its geographic focus, and any other statements which you feel are critical in summarizing your organization to date. We may use this information in your company profile page at bizjournals.com. It will appear as a hyperlink to when a reader sees your company name mentioned in a List or a story. Expanded Company Profile Description Beck Capital Management provides a full range of fee-based investment management services, including portfolio management and financial, retirement & estate planning. We are based in Austin, Texas and serve clients worldwide. In contrast to many other independent investment management and wealth advisory firms, we are trained as analysts and portfolio managers, not salespeople. As such, we do not hold CFP designation, but do have significant and relevant degrees such as MBA and a Phd in Economics, along with years of experience as equity analysts and managing mutual funds and a hedge fund, prior to our time at Beck Capital.