Fields Asset Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Fields Asset Management provides customized investment management services to individuals and associated trusts, estates, and other legal entities, managing approximately $4.55 million on behalf of roughly 63 clients. The firm generally invests client assets in stocks, bonds, mutual funds, and ETFs and manages accounts on a discretionary basis.
The firm applies technical analysis to evaluate individual securities and to inform portfolio timing, typically targeting longer time horizons (often a year or more) while trading more frequently as market conditions dictate. Depending on a client’s objectives, the firm may utilize option writing and short selling and allows clients to impose reasonable restrictions on how their accounts are managed.
A notable and uncommon feature is that the firm’s principal is an active, licensed real estate broker who buys and sells real estate for clients and receives commissions, creating a potential conflict of interest that is disclosed in the brochure. The firm also recommends custodians (Charles Schwab and Guggenheim), receives certain custodial products and services (including portfolio management tools and receipt of 12b‑1 fees on accounts at Guggenheim), and is considered to have constructive custody due to its fee‑debiting arrangement.
Client services
Expertise
Fee options
$0 - $500,000: 1.50% $500,000+: 1.00%
Account minimum: $10,000 (negotiable)
Main office
Denver CO
Advisors at this office
1
Most active in
Colorado
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
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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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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