Broker-dealer firm
Feldstein, Steven DBA Steven Feldstein & Associates
Steven Feldstein & Associates · SEC-registered investment adviser · CRD 109022 · SEC 801-56257
At a glance
Feldstein, Steven DBA Steven Feldstein & Associates is an SEC-registered investment adviser based in United States, with $160 million in regulatory assets under management as of its Form ADV filed February 24, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 526 individual clients. By Form ADV it is a broker-dealer firm, ranked 299th of 391 broker-dealer firms and 13,359th of 17,210 SEC-registered advisers by assets.
financial-advisor.comAs filed on Form ADV
- Regulatory AUM
- $160M
- Rank among broker-dealer firms
- #299 of 391
- Rank among all SEC RIAs
- #13,359 of 17,210
- Individual clients
- 526
- High-net-worth clients
- 526
- Accounts
- 740
- Discretionary
- 0% of AUM
- Employees
- 4
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Steven FeldsteinChief Compliance Officer and Managing Member
Custody and brokerage
Custodian
Feldstein, Steven DBA Steven Feldstein & Associates’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Feldstein, Steven DBA Steven Feldstein & Associates is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Feldstein Financial Group, LLC.
- Feldstein Financial Group, LLC ↗CRD 113988
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed February 2026) names Feldstein Financial Group as the broker-dealer its advisers are registered with.
Steven Feldstein, a registered representative of FFG, the affiliated broker-dealer, receives compensation for the sale of securities.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 526 | $160M | 100% |
Disciplinary disclosures
Feldstein, Steven DBA Steven Feldstein & Associates reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗financial-advisor.com ↗
AtlasMembers
The full record on Feldstein, Steven DBA Steven Feldstein & Associates
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 128 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Feldstein, Steven DBA Steven Feldstein & Associates manage?
Feldstein, Steven DBA Steven Feldstein & Associates reports $160 million in regulatory assets under management across 740 accounts, on its Form ADV filed February 24, 2026.
What kind of firm is Feldstein, Steven DBA Steven Feldstein & Associates?
Feldstein, Steven DBA Steven Feldstein & Associates is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Feldstein, Steven DBA Steven Feldstein & Associates’s clients?
By assets, its largest client types are high-net-worth individuals ($160 million, 526 clients).
Does Feldstein, Steven DBA Steven Feldstein & Associates have any disciplinary history?
Feldstein, Steven DBA Steven Feldstein & Associates reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Feldstein, Steven DBA Steven Feldstein & Associates’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-02-24), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →