Aim Capital

CRD#165183
Investment Advisor Firm

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Overview

Aim Capital is an advisory firm located in Scottsdale, Arizona. Aim Capital has $191.8 million in assets over 374 customer accounts, making it a mid-tier firm in the United States by assets under management (AUM). The firm has a small team of three employees, two of whom are financial advisors. Aim Capital does not act as a registered broker-dealer, signifying that it is not able to buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are exchangable fiscal assets such as bonds, options and stocks.

Aim Capital administers more than half of the company's accounts in a discretionary manner. Discretionary management signifies that a portfolio manager has the discretion to make buy and sell judgments for the client's account without needing to seek the customer's authorization. Aim Capital also manages 34 non-discretionary accounts totaling $27.3 million in assets under management. Aim Capital administers about $512,905 for each client account. The typical advisor at Aim Capital manages around 187 client accounts.

The firm's headquarters is located at 7337 E Doubletree Ranch Road, Scottsdale, Arizona 85258. It is legally permitted to provide services to investors throughout a number of states, including Arizona, New Hampshire and Texas.

Assets Under Management

$191.8 million

Number of Advisors

2

Disclosures

No

Office Location

7337 E Doubletree Ranch Road
Scottsdale, AZ 85258

Aim Capital by the Numbers

Total Assets Under Management

$191.8 million

National Average: $3.3 billion
Total Number of Employees

3

National Average: 31
Total Number of Accounts

374

National Average: 1,935
Average Account Size

$512.9 thousand

National Average: $1.7 million

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Products and Services

Aim Capital offers multiple financial services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and pension consulting services. In the prior financial year, it provided financial planning services to 1-10 of its clients. Aim Capital is not involved in selling products or offering services aside from investment advice to its investment advisory customers.

Core Advisor Services

  • Offered by 44% of firms

    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 61% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

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Fee Structure

A financial advisor's fees largely vary depending on which services the firm provides the client. However, fee types billed by Aim Capital most likely include the following fee types: asset-based or hourly. Wrap fee programs, or the practice of bundling services for a single fee, are offered by Aim Capital.

Available

  • Offered by 72% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 39% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

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    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The firm provides services to retail investors, high net worth investors and corporations. Out of its 374 clients, Aim Capital's biggest client group is retail investors, although it also caters to 60 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients reside abroad.

  • High-Net-Worth Individuals* - 39.47%
  • Other Individuals - 53.95%
  • Corporations - 6.58%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Aim Capital does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Aim Capital

Philip Nagel
Scottsdale, AZ
William Hill
Scottsdale, AZ

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This content was compiled from the SEC and FINRA