Davidson Fixed Income Management, Inc. (Denver)

Name: Davidson Fixed Income Management, Inc.
Address: 1550 Market Street, Denver, CO, 80202
Telephone: 800-617-2501

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.