F
Fields Asset Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,551,625
Clients
63
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
63
Very HighAverage account size
$72,248
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
Portfolio management
Expertise
Active portfolio management
Fee options
$0 - $500,000: 1.50% $500,000+: 1.00%
Account minimum: $10,000 (negotiable)
Main office location
Fields Asset Management LLC
Denver CO, United States
Number of offices
1
Most active in
Fields Asset Management LLC has reported serving >5 clients in these states in the last 12 months.
California · Colorado
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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