Stephen Gordon
Cornerstone Asset Management

Tel: (303) 779-2524

One DTC 5251 DTC Parkway
Suite 990
Greenwood Village, CO 80111

Wealth Management done the right way

About Cornerstone Asset Management

Cornerstone Asset Management is an independent financial services firm based in Denver, Colorado. We operate as a branch office of Securities America, Inc.member FINRA/SIPC. We specialize in comprehensive financial planning and dynamic asset allocation strategies. Whatever your needs may be - portfolio management, retirement planning, estate planning, risk management, money management or educational planning -we offer strategies that are consistent with your unique values, goals and financial objectives.

We provide a variety of portfolio management solutions including our Active Tactical Asset Allocation Modeling system. Our Investment Advisory Services are offered through CUE Financial Group, Inc., a SEC Registered Investment Advisor.

Our mission at Cornerstone Asset Management is to provide exceptional service and to help our clients reach their goals for the reasons that are most important to them.

General Information

Firm Start Year:		1997
No.of Employees:		2-4
Name of Broker/Dealer:		Securities America

Name of Custodial Firm:

Charles Schwab, Pershing LLC

States Licensed in:

CO,AZ,NM,TX,WY,KS,MT,OR,CA,NV,PA,ID,UT,WI,LA

Advisory Services offered in CO,NM,OR,PA

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Services

Investment Types:

Annuities, Insurance, Options, Stocks, Alternative Investments, Exchange Traded Funds (ETFs), Mutual Funds, Bonds

I can meet clients in the following ways:

At my office, At your home, At your office, Via phone

Qualifications & Memberships

Insurance and Annuity Licenses:

Variable Life, Annuity, Life, Variable Annuity

Firm Information

Firm's Number of Clients:

195

Firm's Number of Planning Clients:

100

Firm's Number of Managed Clients:

175

Assets Managed by Firm:

$90 Million

Advisor's Number of Clients:

195

Advisor's Number of Managed Clients:

175

Advisor's Number of Planning Clients:

100

Assets Managed by Advisor:

$90 Million

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

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-Based (Fee and Commissions)

Minimum Portfolio Size for New Managed Accounts:

$500,000

Compensation Methods:

Based on Assets, Flat Fee, Hourly

Fee % Based on Assets:

1-1.5%

Hourly Rate:

$200

Flat Fee Rate:

$500

Faqs

Do you have a customer satisfaction or refund policy? No. Member of BBB for over 4 years. Results speak for themselves
What are your qualifications? What is your education background? Economics degree from University of New Mexico. Registered Investment Advisor Representative, Series 24 and Series 7
What is your approach to financial planning? All planning servies based on the comprehensive fundamentals of Financial Planning
What services do you offer? Planning, Implimentation, Ongoing Asset Management
How many clients do you currently manage? 180 clients

FAQs

Do you have a customer satisfaction or refund policy? No. Member of BBB for over 4 years. Results speak for themselves
What are your qualifications? What is your education background? Economics degree from University of New Mexico. Registered Investment Advisor Representative, Series 24 and Series 7
What is your approach to financial planning? All planning servies based on the comprehensive fundamentals of Financial Planning
What services do you offer? Planning, Implimentation, Ongoing Asset Management
How many clients do you currently manage? 180 clients
Will you be the only person working with me? Yes in most cases.
How are you compensated? How will I pay for your services? Fee-Based Focus
If you are going to manage my account, will you obtain my permission every time you buy or sell something? Most client relationships are based on advisor discretion. Client chooses
Do you offer any guaranteed results? No
How much risk should I be willing to take? After a comprehensive exam and interview, we help you determine risk tolerance
Have you ever been charged with any breaches? No
What services do you provide? What are your specialties? Planning,Portfolio Construction,Ongoing Proactive Management. We specialize in our Dynamic Tactical Asset Management strategies. Securities offered through Foothil Securities, Inc. memeber FINRA/SIPC. Advisory Services offered through CUE Financial Group, Inc., a SEC Registered Investment Advisor.
What is your experience? How many clients do you currently manage? Over 20 years in business. 180 current clients
What financial institution(s) do you represent? CUE Financial Group, Inc. A SEC Registered Investement Advisor. Securities America, Inc.- Broker/Dealer member FINRA/SIPC.
How do you charge for your services? Fee-Based
Why should I choose you as my financial advisor? Experience, Active Tactical Asset Management solutions, Trustworthy Long-Term Relationships with my clients
What is your approach to 401 K plan rollovers? Planning first, then implimentation based on individual goals/needs.
How long does the process of rolling over a 401K plan usually take? 2 weeks
What financial institutions do you represent? We are Independent Advisors that clear our business through Pershing LLC, Charles Schwab, and some direct platforms. We are affiliated with Securities America, Inc. Member FINRA/SIPC. Advisory services offered through CUE Financial Group Inc., A SEC Registered Investment Advisor.
How many years of experience do you have? 22
How many 401K rollover clients do you currently manage? 175
Why should I roll over my 401K plan to your firm? Over 20 Years experience, a wide variety of Solutions from fixed returns to Active Tactical management

Stephen Gordon

Stephen Gordon, the firms President, has spent over Twenty years as a financial advisor serving the retirement and financial planning needs for private clients and small businesses.

Stephen holds his Bachelor of Arts Degree in Economics and finds his passion in hands on wealth and portfolio management. He has developed the firms proprietary tactical asset management strategies. Cornerstone Asset Management offers those solutions within our wealth management platforms.

While second in importance to honesty and integrity, his credentials and experience are paramount to providing his clients confidence inspiring & value added financial advice, and wealth management solutions.

Office Hours

	Mon.	7:00 AM - 4:30 PM
	Tue.	7:00 AM - 4:30 PM
	Wed.	7:00 AM - 4:30 PM
	Thu.	7:00 AM - 4:30 PM
	Fri.	7:00 AM - 2:30 PM

Research This Advisor

www.finra.org	www.sec.gov
www.sipc.org	www.aicpa.org