Davidson Fixed Income Management, Inc. (Denver)


Davidson Fixed Income Management, Inc. is a large advisory firm based in Denver. It manages $1.02 billion of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of Colorado, Florida, and Oregon.

Davidson Fixed Income Management provides portfolio management for investment companies and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Davidson Fixed Income Management: assets under management

The assets under management (AUM) of Davidson Fixed Income Management, Inc. is $1.02 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -65% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.02 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $85.29 million each.

Investments

The firm invests in government bonds the most. They account for 86% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 13% of the firm’s portfolio. Investments in state and local bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Davidson Fixed Income Management, Inc. for their services and products based on a percentage of assets under management. 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 Thomas Steven Nelson serves?

The firm provides services to investment companies and state or municipal government entities. The largest group of clients of Thomas Steven Nelson is investment companies with 1 clients and $859.4 million of assets under management. Among the 8 most similar advisory firms, Davidson Fixed Income Management has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $1.02 billion for 3 clients. None of the firm’s clients are foreign persons or businesses.

Davidson Fixed Income Management doesn't advise any private funds.

Careers at Davidson Fixed Income Management, Inc.

The company employs 6 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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 receive compensation from other entities for client referrals.

Thomas Steven Nelson has been acting as President since 1 Jan 2005. Jacqueline Ann Beauprez joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Leroy Christian Petersen Director 1 Jul 2003 Other 361204
Christopher Keith Blackwood Svp, managing director, chief compliance officer 1 Aug 2003 Other 1863353
William Adam Johnstone Director, executive chairman of parent company 1 Jan 2004 Other 2783493
Samuel Charles Doyle President, director 1 Jan 2005 Other 801998
D.A. Davidson Companies Owner 1 Jan 2005 75% - 100% 81-0439153
Thomas Steven Nelson Director 1 Jan 2005 Other 1108782
Davidson Companies Owner 1 Jan 2005 75% - 100% 81-0439153
Kreg Allen Jones Director 1 Jan 2005 Other 1003547
Scott David Prickett Director 1 Jan 2005 Other 1901448
Charles Ronald Langhoff Director 1 Jan 2005 Other 1978682
Deanne Woodring Managing director, portfolio manager 1 Jan 2006 Other 1088213
Deanne Woodring Director 1 Feb 2006 Other 1088213
William Adam Johnstone Director 1 Jan 2008 Other 2783493
Scott David Prickett Managing director, portfolio manager 1 Apr 2009 Other 1901448
Lawrence Todd Martinez Chief compliance officer 1 Sep 2009 Other 4596308
Wesley Dean Hall Chief compliance officer 1 Oct 2013 Other 3128921
James Patrick Kerr Director and president and ceo of parent company 1 Jan 2015 Other 824040
James Patrick Kerr Director and ceo of parent company 1 Oct 2016 Other 824040
Steven Paul Condon President, davidson fixed income management, inc. and asset management and trust, director 1 Dec 2016 Other 1772510
Jacqueline Ann Beauprez Chief compliance officer 1 Apr 2018 Other 4075012

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Davidson Companies Parent corporation 1 May 1986 50% - 75% 81-0439153
D.A. Davidson Trust Company Trustee 1 Sep 2001 25% - 50% 81-0330104
Employee Stock Ownership Plan And Trust Shareholder 1 Sep 2001 25% - 50% 81-6032703
Davidson Trust Co. Trustee 1 Sep 2001 25% - 50% 81-0330104
Employee Stock Ownership Plan And Trust Employee stock ownership plan 1 Jan 2005 25% - 50% 81-0439153
As Trustee For Employee Stock Ownership Plan And Trust Davidson Trust Co Employee stock ownership plan 1 Jan 2005 25% - 50% 81-0439153

Based in Denver

The principal office where Davidson Fixed Income Management, Inc. performs its advisory services is located at 1550 Market Street, Denver, CO 80202, which is also the mailing address of the firm. An additional office of the firm is in Portland, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-617-2501 or by fax 303-893-5803. The normal business hours are 8:00 - 4:00 on Monday - Friday. You can find more information about the New York firm at davidsonfim.com.

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