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Stein Roe Investment Counsel, Inc. (Chicago)


Stein Roe Investment Counsel, Inc. is a large advisory firm based in Chicago. It manages $8.35 billion of regulatory assets for 3,295 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

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Stein Roe Investment Counsel provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for businesses and institutional clients, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Stein Roe Investment Counsel: assets under management

The assets under management (AUM) of Stein Roe Investment Counsel, Inc. is $8.35 billion. The firm's AUM has gone down by -8% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $7.57 billion in discretionary accounts and $784.82 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $38.82 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $253.17 thousand.
Stein Roe Investment Counsel has custody of $63.02 million in cash and securities for 34 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Stein Roe Investment Counsel, Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based 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 Stein Roe Investment Counsel, Inc.

Jeffrey Scott Thomas has been acting as President since 1 Mar 2004. David Lazarus Donabedian has served as the Chief Investment Officer since 1 Jun 2009. Clinton Louis Ward joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
William Edward Rankin President, chief executive officer, director 1 Mar 2004 Other 2586003
Kenneth John Kozanda Director, chief financial officer, treasurer 1 Mar 2004 Other 4357366
Susan Marie Wiemeler Chief compliance officer 1 Mar 2004 Other 1692542
John Sheehan Markwalter Chairman of the board 1 Mar 2004 Other 1385997
Stephen Emanuel Prostano Chief operating officer, director 1 Mar 2004 Other 2993748
Paul Joseph Elmlinger General counsel, secretary 1 Mar 2004 Other 2094910
Atlantic Trust Group Sole shareholder 1 Mar 2004 75% - 100% 04-3173832
Jeffrey Scott Thomas Director 1 Mar 2004 Other 4781881
Inc. Atlantic Trust Group Sole shareholder 1 Mar 2004 75% - 100% 04-3173832
Llc Atlantic Trust Group Sole shareholder 1 Mar 2004 75% - 100% 04-3173832
Allan David Kiser Chief compliance officer 1 Aug 2004 Other 1925290
Marc Stephen Keller Director, executive vice president 1 Oct 2004 Other 266581
Marc Keller Director, executive vice president 1 Oct 2004 Other 266581
Gregory Brent Campbell Chief compliance officer, vice president, counsel & secretary 1 Jan 2005 Other 2777077
Gregory Brent Campbell Chief compliance officer, vice president, general counsel & secretary 1 Oct 2005 Other 2777077
John Sheehan Markwalter Chairman of the board & president 1 Jan 2006 Other 1385997
Gregory Brent Campbell Chief compliance officer, sr. vice president, general counsel & secretary 1 Jan 2006 Other 2777077
Eric Brown Propper Director 1 May 2006 Other 1016159
Drew Alan Ahrens Chief compliance officer 1 Aug 2007 Other 1508185
Scott Alan Trapani Chief compliance officer 1 Jun 2008 Other 4243871
Annette Janecka Lege Chief financial officer, treasurer 1 Mar 2009 Other 2244646
David Lazarus Donabedian Chief investment officer 1 Jun 2009 Other 4348033
Stephen Andrew Harris Chief compliance officer 1 Sep 2010 Other 5729251
Miranda O'keefe Chief compliance officer 1 Aug 2012 Other 2750070
Daniel Robert Brown Chief financial officer 1 Jan 2014 Other 5453064
Clinton Louis Ward Chief compliance officer 1 Oct 2014 Other 4190916

Indirect Owners

The SEC currently registers 11 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Amvescap Group Services Sole shareholder of invesco north american holdings, inc. 1 Mar 2004 75% - 100% 51-1995394
Amvescap Plc Sole shareholder of avz inc. 1 Mar 2004 75% - 100% united kingdom
Avz Inc. Sole shareholder of amvescap group services, inc. 1 Mar 2004 75% - 100% 58-2287224
Inc. Invesco North American Holdings Sole shareholder of atlantic trust group, inc. 1 Mar 2004 75% - 100% 51-0264787
Invesco Plc Sole shareholder of avz inc. 1 Mar 2004 75% - 100% united kingdom
Inc. Ivz Sole shareholder of amvescap group services, inc. 1 Mar 2004 75% - 100% 58-2287224
Inc. Invesco Group Services Sole shareholder of invesco north american holdings, inc. 1 Mar 2004 75% - 100% 51-1995394
Invesco Ltd. Sole shareholder of ivz, inc. 1 Mar 2004 75% - 100% bermuda
Invesco Holding Company Limited Sole shareholder of ivz, inc. 1 Mar 2004 75% - 100% united kingdom
Canadian Imperial Bank Of Commerce 100% shareholder 1 Aug 2008 75% - 100% 13-1942440
Cibc World Markets Inc. 100% shareholder 1 Aug 2008 75% - 100% 10-5734750

Based in Chicago

The principal office where Stein Roe Investment Counsel, Inc. performs its advisory services is located at One South Wacker Drive, Chicago, IL 60606, which is also the mailing address of the firm. An additional office of the firm is in Atlanta, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-368-7700 or by fax 312-368-7750. The normal business hours are 8:30 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at sric.net.


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