LK
Leslie W. Kreis
STEELHEAD CAPITAL MANAGEMENT
Fort Worth, TX 76107
Some features on this profile are disabled
CRD#: 2441807
LK
Professional summary
Leslie Wayne Kreis JR, who also goes by Les Kreis Jr, Les Kreis, Leslie Wayne Kreis, is a registered financial advisor currently at STEELHEAD CAPITAL MANAGEMENT, LLC located in Fort Worth, Texas.
Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Leslie has worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Les Kreis Jr | Les Kreis | Leslie Wayne Kreis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Mr. Kreis serves on the boards of certain companies related to his involvement in the Bios Funds which do not constitute a conflict of interest since they support the Fund business. The timing of these board responsibilities coincide with the Bios Fund acquisition date of portfolio company investments.
CRS (Client Relationship Summary) - RIA
Click below to view Leslie Wayne Kreis JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 11, 2020 - Present
STEELHEAD CAPITAL MANAGEMENT, LLC
Office #1: 1751 River Run Suite 400, Fort Worth, TX 76107RIA
CRD#: 173440
Fort Worth, TX
Past
March 18, 1996 - April 13, 2000
HBK FINANCE L.P.
BD
CRD#: 35607
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
STEELHEAD CAPITAL MANAGEMENT, LLC
STEELHEAD CAPITAL MANAGEMENT, LLC
CRD#: 173440 / SEC#: 801-117461
RIA
Registered Investment Advisory firm - (10/9/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(7/11/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SC
STEELHEAD CAPITAL MANAGEMENT, LLC
STEELHEAD CAPITAL MANAGEMENT, LLC
CRD#: 173440 / SEC#: 801-117461
RIA
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Contact information
Main Address
1751 River Run Suite 400, Fort Worth, TX 76107
Mailing Address
Phone number
(817) 984-9197
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21 |
| AUM (Assets Under Management) | $ 225,257,129 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 9/9/2019 |
| Texas | ERA - Withdrawn | 9/9/2019 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
