DBA Stein Investment Services
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm manages investment portfolios of no-load and low-load mutual funds and exchange-traded funds on a fee-only basis for individuals, trusts, estates, and corporations, and generally requires a minimum account of $200,000. It does not provide financial planning, quantitative analysis, or market timing services, and custody of client assets is maintained by custodians such as Charles Schwab rather than the firm.
Investment decisions are guided by a macro‑fundamental analysis of global economic, political, and cultural trends, supplemented by charting of individual securities to help determine entry and exit points; the firm typically invests for the long term but may occasionally sell holdings in less than a year. The firm’s investable universe centers on mutual funds and ETFs and may include master limited partnerships and, on occasion, exchange‑listed, over‑the‑counter, or foreign securities, and tax consequences are considered in trading.
The practice is a long‑established sole proprietorship led by an owner with a Ph.D. in economics and a track record dating back to 1986, and as of 03/31/2026 reported $15.1 million in assets under advisement (of which $9.6 million were regulatory assets), suggesting a relatively small, closely supervised client base. The firm operates on a fee-only basis, reports no material outside business interests or referral arrangements, invests personally in the same funds recommended to clients, and provides monthly investment reports and quarterly client letters.
Client services
Expertise
Fee options
$0 - $500,000: 1.25% $500,000 - $1,000,000: 1.0% $1,000,000 - $2,000,000: 0.8% $2,000,000+: 0.6%
Account minimum: $200,000 Fee-only: Fee-only basis; no commissions received
Main office
Cortlandt Manor NY
Advisors at this office
1
Most active in
California
Also doing business as
Dba Stein Investment Services · John Picard Stein , Ph.D. · Stein Investment Services
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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