First Affirmative Financial Network LLC (Colorado Springs)


First Affirmative Financial Network LLC is a large advisory firm based in Colorado Springs. It manages $860.88 million of regulatory assets for 4,523 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 39 other states.

First Affirmative Financial Network 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, publication of newsletters, and educational seminars and workshops. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

First Affirmative Financial Network: assets under management

The assets under management (AUM) of First Affirmative Financial Network LLC is $860.88 million. The firm's AUM has grown by 204% since the beginning of its operation, and $1.23 million of the total AUM is attributable to clients outside of the United States.

The firm manages $850.59 million in discretionary accounts and $10.3 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $193.84 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $76.27 thousand.
First Affirmative Financial Network has custody of $220.54 million in cash and securities for 979 clients in total and its related person acts as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 43% of the total AUM. The second-largest asset type is exchange traded securities, which make up 34% of the firm’s portfolio. Investments in state and local bonds form 10% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay First Affirmative Financial Network LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. 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.

What kind of clients Steven Jerome Schueth serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Steven Jerome Schueth is individuals with 3,890 clients and $435.1 million of assets under management. Among the 12 most similar advisory firms, First Affirmative Financial Network has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $860.88 million for 4,523 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

First Affirmative Financial Network doesn't advise any private funds.

Careers at First Affirmative Financial Network LLC

The company employs 37 people that are either part- or full-time employees. 51 percent of the employees work as investment advisers or researchers. 19 employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Steven Jerome Schueth has been acting as President since 1 Jul 1999. Richard Kevin Okeefe has served as the Chief Investment Officer since 1 Jul 1999 and George Richard Gay is the Chief Executive Officer of First Affirmative Financial Network LLC family office. Peter Richard Geraghty joined the executive team most recently as the Chief Legal Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Kathleen Joy Lewis Chief compliance officer 1 May 1999 Other 1868365
George Richard Gay Ceo 1 May 1999 25% - 50% 1182467
Kathleen Joy Sutherland Coo 1 May 1999 Other 1868365
George Richard Gay Chief executive officer 1 Jul 1999 25% - 50% 1182467
Steven Jerome Schueth President 1 Jul 1999 25% - 50% 1062348
Richard Kevin Okeefe Chief investment officer 1 Jul 1999 Other 706742
Kathleen Joy Lewis Chief compliance officer 1 Jul 1999 Other 1868365
Johann Albert Klaassen Investment committee member 1 Jul 2001 Other xxx-xx-xxxx
Rebecca Emmie Jackson Chief operating officer 1 Jul 2016 Other 5343238
Foliofn Inc. Direct owner 1 Oct 2016 75% - 100% 54-1966544
James Compeau Fyffe Chief financial officer 1 Aug 2017 Other 2619159
Amy Abbott Thacker Chief operating officer 1 Jan 2018 Other 2284267
Theresa Marie Gusman Chief investment officer 1 Apr 2018 Other 1237508
Peter Richard Geraghty Chief legal officer 1 Aug 2018 Other 4930752

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Steven Mark Harte Wallman Shareholder & ceo 1 Jun 1998 75% - 100% 3277959

Based in Colorado Springs

The principal office where First Affirmative Financial Network LLC performs its advisory services is located at 5475 Mark Dabling Boulevard, Colorado Springs, CO 80918, which is also the mailing address of the firm. An additional office of the firm is in Newton, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 703-245-5820 or by fax 703-245-5850. The normal business hours are 8:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at firstaffirmative.com.