wiseradvisor

Barbara  Rosenblum /Michael Stephens
Rosenblum Silverman Sutton Investment Counsel San Francisco Inc.

Tel: (415) 771-2631
1388 Sutter St.
Suite 725
San Francisco, CA 94109

We take care of people and we make them money.

Rosenblum Silverman Sutton Investment Counsel San Francisco Inc. | Financial Advisor in San Francisco ,CA

About Rosenblum Silverman Sutton Investment Counsel San Francisco Inc.

*Women owned firm
*Team approach to management
*Fee based independent Registered Investment Advisor
*Multi-cap growth
*Customize portfolios individual equities and fixed income securities
*Balanced or all equity portfolios


General Information

Firm Start Year:   1983
No.of Employees:   5-9
Name of Broker/Dealer:   Charles Schwab & Co.
States Licensed in:   California,
Number of Years with Current Firm:   30
I work with the following types of clients:   Investment Clubs, Businesses, Non-Profit Organizations, Individual Investors


Services

Investment Types:   Bonds, Stocks, International Investments
I can meet clients in the following ways:   At my office, At your office, At your home, Via phone


Qualifications & Memberships

Financial Organization Memberships:   Financial Planning Association (FPA)


Firm Information

Firm's Number of Clients:   210
Firm's Number of Managed Clients:   210
Assets Managed by Firm:   $305,383,736.69
Advisor's Number of Clients:   200
Assets Managed by Advisor:   $305,383,736.69


Compliance

Registered Investment Advisor:   Yes
Investment Advisor Representative:   Yes
I am an acknowledged fiduciary:   Yes
Compliance Disclosures in Last 5 years:   I have a clean record
Criminal Disclosures in Last 5 years:   I have a clean record


Compensation and Fees

Fee Structure:   Fee Only
Minimum Portfolio Size for New Managed Accounts:   500,000
Compensation Methods:   Based on Assets
Fee % Based on Assets:   .50-1.25
Additional Details on Charges:   1/4 of the fee every 90 days in arrears



Faqs

  • Do you have a customer satisfaction or refund policy? We provide an on-going service and charge our clients a flat fee based on a percentage of assets. Our clients can leave the relationship at any time but we can not guarantee results.
  • What are your qualifications? What is your education background? Each member of the investment committee has over twenty years of experience in the investment industry. We have two CFA's on staff.
  • What is your approach to financial planning? We take a fiduciary planning approach. We focus on the clients current cash flow needs and apply that formula to their future potential needs. We also review taxes, liabilities, risk and estate management. True financial planning is an on-going process that needs periodic alterations to remain effective.
  • What services do you offer? Our primary service is portfolio management of individual equities and fixed income securities. We also provide financial planning and general financial counseling.
  • How many clients do you currently manage? We manage assets for over two hundred families.
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Disclaimer

Rosenblum Siverman Sutton reserves the right to negotiate its fees

Barbara  Rosenblum /Michael Stephens

Barbara  Rosenblum /Michael Stephens

CFA

* Barbara G. Rosenblum, CFA- Chief Executive Officer and Principal
* Phyllis R. Sutton- President and Principal
* Michael Stephens-Director of Business Development, Client Services and Chief Compliance Officer
* Frederick "Fritz" Linkner, CFA-Director of Research
* Philip Huff- Office Manager and Administration
* Kurt Keast- Trading and Operations
* Jason Miller- Operations

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My Services

Financial Planning for Individuals

Our financial review is a fundamental part of our being an effective fiduciary for our clients’. The financial review reveals how much risk our clients can and should be taking with their portfolio. The review can also reveal vulnerabilities such as insufficient estate planning, under- performing and/or over priced products, over concentrations to one investment segment. Our goal is to reduce risk, create a portfolio with a reasonable rate of return, minimize costs and put our clients at ease.


Portfolio Management

At RSS, we manage traditional long-only multi-cap equity and fixed income portfolios. Starting with a "top-down" thematic approach, we identify investment themes of the market that will outperform the broad indexes. Then we identify individual investments that fit our theme and we do a full "bottom-up" analysis of the company. We typically build a 25-30 position portfolio. At the core of our investment philosophy, we leverage our internal research to identify companies with meaningful intrinsic value. By purchasing a company selling below its estimated intrinsic value, we look to identify companies that are earning economic profits above their cost of capital ensuring adequate capital appreciation during market advances. Staying with our discipline enables us to manage with confidence through all markets; never losing sight of the fact that the stock market is a market of stocks, and that stocks represent shares in real businesses.


Retirement Planning

Retirement planning is a vital component of financial planning. We work with all of our client to understand their cash flow needs and make the necessary recommendations. All retirement and/or financial plans are an on-going process. These plans are reviewed and tweaked according to our clients life changes and financial needs.


My Team

Phyllis  Sutton
Phyllis Sutton President, Principal
Phyllis Sutton, President and Principal, began her career with Merrill Lynch & Co., then Merrill Lynch, Pierce, Fenner & Smith, in New York working as a securities analyst and portfolio strategist. After working at several investment advisory firms, including Dodge & Cox in San Francisco, she became a principal of Robert M. Sutton Investment Management and joined RSS in 1984. She received a BA from the University of Miami and majored in Finance at New York University Graduate School of Business.

Barbara Rosenblum
Barbara Rosenblum CFA, CEO & Principal
Barbara Rosenblum, Chief Executive Officer and Principal, began her career as a Securities Analyst with Bache & Co., covering consumer nondurables and pharmaceuticals. Later, she was Research Director at Burnham Securities, prior to the formation of Drexel Burnham Lambert. She founded her own advisory firm in 1975, the predecessor of RSS. Her education background includes a BA from Cornell University and an MBA from Boston University Graduate School of Management. She is a Chartered Financial A ...more

Fritz Linkner
Fritz Linkner CFA, Director of Research
Frederick “Fritz” Linkner, director of research, provides investment research, explores new investment opportunities, assists in portfolio management functions, including buy/sell decisions, asset allocation including stock and sector weights and the evaluation of risk parameters. He began his investment career in Pension Services at Charles Schwab & Co. rising to the position of Supervisor and later Project Analyst to the Vice President of Special Operations. After four years at Charles Schwab ...more

Michael  Stephens
Michael Stephens Director of B.D. & CCO
Michael Stephens, Director of Business Development, Client Services and Chief Compliance Officer is responsible for marketing the firm, developing new client relationships, counseling existing clients, assisting with operations of client accounts, financial planning and maintaining the firms compliance program. Michael started with Rosenblum Silverman Sutton in 2002. Michael began his investment career at Charles Schwab & Co.'s Asia Pacific Group on the international team managing overseas cli ...more

Philip  Huff
Philip Huff Office Manager
Philip Huff-Office Manager Client Liaison Client and general correspondence Bookkeeping & accounting receivable/payable Billing reports Client reports for one-on-one meetings Primary contact for incoming calls

Kurt  Keast
Kurt Keast Trading and Operations
Kurt Keast- Trading & Operations Block Trading Bond Research Trade Settlement Eating of corn dogs

Maggie  Dolan
Maggie Dolan Operations Manager
Maggie Dolan-Operations Manager Client Services Account Administration and Operations Trade Settlement Cash Disbursements

Office Hours

wiseradvisor-balck-li-img Mon. 5:30 AM - 4:00 PM
wiseradvisor-balck-li-img Tue. 5:30 AM - 4:00 PM
wiseradvisor-balck-li-img Wed. 5:30 AM - 4:00 PM
wiseradvisor-balck-li-img Thu. 5:30 AM - 4:00 PM
wiseradvisor-balck-li-img Fri. 5:30 AM - 4:00 PM

Communities Served

Fremont Vallejo
Newark Union City
Daly City San Bruno
Menlo Park Castro Valley
Danville South San Francisco
Richmond Pleasant Hill
Alameda Oakland
Concord San Mateo
San Francisco Hayward
San Pablo Martinez
San Leandro Redwood City
Walnut Creek Palo Alto
San Ramon Burlingame
San Rafael Pacifica

Compensation Arrangements

Check Bank Transfer

News & Events

Economic Outlook
When: 06/06/2013
Details:A monthly look at "big picture" economic factors that we believe have an effect on the financial markets and the performance of our client portfolios. ...more


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