Who is James B. Stack (CRD#: 2458324)?Everything you need to know about James B. Stack and their accolades
Stack Financial Management was founded by James B. Stack, who also serves as its CEO.
James’s overall goal is to lead SFM toward ongoing, sustained success. He fosters each team member’s personal development and mentors the various teams that make up this historic organization. Jim takes part in all Portfolio Management meetings and, using his prior expertise and experience, directs sector allocation decisions.
James’ credentials include a Series 65 FINRA (Financial Industry Regulatory Authority) license.
James was employed by IBM Research in Boulder, Colorado, as an engineer after graduating from college. He rose swiftly through the Research & Development ranks to become a project manager, and he holds numerous US patents.
James left IBM in 1979 and went on to found InvesTech Research, which he still runs today. His newsletter is well-known across the nation, has more than 7,000 subscribers, and is made available in all 50 states as well as 47 other nations.
James has degrees in mechanical engineering from Montana State University and business from the University of Colorado.
James returned to Montana in 1979 due to his passion for the great outdoors, and now he and his wife Lisa spend their leisure time taking advantage of all the activities the state has to offer, including hiking, bicycling, fishing, skiing, and simply unwinding at home on Whitefish Lake.
James is an honoree of the Carnegie Medal for Heroism, a committed leader in the community who is passionate about giving back via philanthropy and the donation of his time and talents.
In this article, we will go deep into James B. Stack’s past, discovering hidden disclosures and analyzing the consequences of the lawsuits.
About Stack Financial ManagementHistory, achievements, leadership, lawsuits, & disputes
Stake Financial Management clients hire a company, not an individual. Their team of compassionate professionals is dedicated to giving each client with a concierge money management service that meets the highest standards of honesty, ethics, trust, and quality. Their “safety-first” investment ethos and emphasis on proactive risk management work to give customers more security in today’s unpredictable markets while assisting them in reaching their long-term financial objectives.
To continue offering the high level of individualized service and investment administration that clients have come to expect and appreciate over the past 29 years, they believe in carefully managing their firm’s growth.
Whitefish is the home of Stack Financial Management. AUM (assets under management) for Stack Financial Management, a sizable advising firm, is $1,701,274,577 (Form ADV from 2023-03-22). With a top 10 holdings concentration of 50.38% and managed 13F securities totaling $822,221,935 as of their most recent reported 13F filing for Q1 2023. With 303,694 shares, Microsoft Corp. is the company that Stack Financial Management holds the most. For inclusion in our WhaleScore system, Stack Financial Management has fulfilled the requirements.
History of Stack Financial Management
In 1994, Stack Financial Management (SFM) was established as an independent investment management company in response to the rising need for personal portfolio management strategies that prioritize safety over risk.
By helping customers manage their portfolios during the deflation of the IT bubble, Stack Financial Management started to build a reputation for putting safety first. 42 client families are included in the clientele as the client base begins to enlarge to a larger, nationwide clientele.
As assets under management approaching $1 billion, SFM maintains its strategic growth. The 11 professionals on our qualified and devoted staff at the firm continue to add a wide range of talent.
2018 will mark SFM’s transfer into its newly built Whitefish, Montana, office, giving us the space to broaden the scope of our services and expand with our clients.
SFM will continue to proudly serve its clients from this legacy location for decades to come as a privately held, independent investment management company.
Investment Plans of Stack Financial Management
The following investments could be made in the Value & Dividend and Capital Appreciation Portfolios:
- Large-cap and mid-cap equities predominate, with the potential for small-cap stocks.
- ETFs or mutual funds are exchange-traded funds.
- Foreign securities (ADRs) or funds
- U.S. Treasury securities, cash and cash equivalents, including money market funds, defensive holdings in an inverse index fund if circumstances permit
- Positions in bonds or bond ETFs under specific situations
Advisory Services & Fees of Stack Financial Management
- All managed accounts are held at a reputable independent broker that solely serves US-based clients.
- The minimum initial amount for a single account is $750,000.
- For assets under management up to $10 million, advising fees per year range from 1.20 to 0.75 percent. for the administration of assets of more than $10 million
What is SEC?
The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.
James B. Stack Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, litigation against James B. Stack
The brokerCheck report of James B. Stack includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.
No disclosure has been mentioned about James B. Stack.
FINRA’s BrokerCheck
individual_2458324.pdf (sec.gov)
SEC Litigations & Forms
Source: James B. Stack – SEC Site Search Search Results
James B. Stack Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against James B. Stack
Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis.law, and Law360. If James B. Stack has been involved in any such lawsuits, then you can find the documents using the links down below:
There might be more pending lawsuits against James B. Stack which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against James B. Stack on these websites, you can contact the local authorities and check if they have a physical copy of any cases.
CourtListener
UniCourt
Law.com
Law360.com
Trellis.law
Justia
James B. Stack Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against James B. Stack (if available)
The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against James B. Stack using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
You can contact the law firms mentioned above if facing issues with James B. Stack or any financial advisor.
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