Sfx Financial Advisory Management Enterprises Inc (Washington)


Sfx Financial Advisory Management Enterprises Inc is a mid-sized advisory firm based in Washington. It manages $45.36 million of regulatory assets for 89 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of District of Columbia and Texas.

Sfx Financial Advisory Management Enterprises provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and personal business management. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sfx Financial Advisory Management Enterprises: assets under management

The assets under management (AUM) of Sfx Financial Advisory Management Enterprises Inc is $45.36 million. The firm's AUM has gone down by -87% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $44.77 million in discretionary accounts and $598.26 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $532.93 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $119.65 thousand.
Sfx Financial Advisory Management Enterprises has custody of $44.77 million in cash and securities for 18 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sfx Financial Advisory Management Enterprises Inc for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Sfx Financial Advisory Management Enterprises Inc

Nina Ramo Mitchell has been acting as President since 1 Mar 1992. Inc. Live Nation joined the executive team most recently as the Parent Company.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Nina Ramo Mitchell President 1 Mar 1992 Other 1968694
Inc Sfx Sports Holdings Parent company 1 Dec 1999 75% - 100% 13-4006446
Steven Brent Trax Vice president 1 Jan 2001 Other 2665665
Brian Becker Ceo 1 Aug 2001 Other 4521291
Lowry Mays Director, chairman 1 Aug 2001 Other 4521292
Mark P. Mays Director, evp 1 Aug 2001 Other 4521300
Randall Thomas Mays Director, evp, cfo 1 Aug 2001 Other 2172124
Herbert W. Hill Svp, chf actg ofcr 1 Aug 2001 Other 4521305
Kenneth E. Wyker Svp, gen counsel, asst sec 1 Aug 2001 Other 4521307
Juliana F. Hill Svp/finance 1 Aug 2001 Other 4521309
Richard W. Wolf Vp/corp counsel 1 Aug 2001 Other 4521314
Stephanie Rosales Vp/corp tax 1 Aug 2001 Other 4521317
Charles G. Dan Vp/real estate 1 Aug 2001 Other 4521320
Brian Coleman Vp/cash mgmt 1 Aug 2001 Other 4521323
Dale Head Evp, gen counsel, sec 1 Apr 2002 Other 4650741
Ed Stacey Cfo 1 Apr 2002 Other 4650819
Brian Ourand Vice president 1 Jun 2003 Other 2511591
Brian John Ourand Vice president 1 Jun 2003 Other 2511591
Eugene Arthur Mason Chief compliance officer 1 Sep 2004 Other 2320473
Eugene Simon Mason Chief compliance officer 1 Sep 2004 Other 2320473
Elizabeth Kathleen Willard Cfo 1 Dec 2004 Other 4940927
Michael Rapino Ceo/president 1 Dec 2005 Other 5316790
Alan Brian Ridgeway Evp/cfo/secretary 1 Dec 2005 Other 5316791
Elizabeth Kathleen Willard Evp/cao/assistant secretary 1 Dec 2005 Other 4940927
Brian John Ourand President 1 Mar 2007 Other 2511591
Live Nation Worldwide Inc. Parent company 1 Oct 2007 75% - 100% 13-3977880
Inc. Live Nation Parent company 1 Feb 2008 75% - 100% 20-3247759
Inc. Live Nation Entertainment Parent company 1 Feb 2008 75% - 100% 20-3247759

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc Sfx Entertainment Indirect owner 1 Dec 1999 75% - 100% 13-3977880
Inc Clear Channel Communications Indirect owner 1 Aug 2000 75% - 100% 74-1787539
Inc. Live Nation Owner 1 Dec 2005 75% - 100% 20-3247759
Inc. Live Nation Holdco #1 Owner 1 Dec 2005 75% - 100% 20-3804858
Live Nation Holdco #2 Inc. Owner 1 Dec 2005 75% - 100% 20-4004853
Inc. Live Nation Worldwide Owner 1 Dec 2005 75% - 100% 13-3977880
Live Nation Entertainment Inc. Parent company 1 Oct 2007 75% - 100% 20-3247759

Based in Washington

The principal office where Sfx Financial Advisory Management Enterprises Inc performs its advisory services is located at 5335 Wisconsin Ave., Nw, Washington, DC 20015, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 202-721-7225 or by fax 202 -686-5050. The normal business hours are 9 am to 6 pm on Monday - Friday.