Autus Asset Management, LLC

CRD#118439
Investment Advisor Firm

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Overview

Autus Asset Management, LLC is a financial advisor firm that has its headquarters in Scottsdale, Arizona. The firm manages $851.2 million in assets under management over 1,914 accounts, making it one of the larger firms in the United States by assets under management (AUM). The company has a small team of six employees, all of whom are financial advisors. Autus Asset Management, LLC does not act as a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its accounts and those of its clients and instead is required to go through a broker-dealer company to do so. Securities are defined as tradable financial assets like equities, options and bonds.

Autus Asset Management, LLC oversees all of its client assets on a discretionary basis. Discretionary management is a structure in which an investment advisor makes buy and sell decisions for the client's account without needing client authorization. The company supervises an average of $444,710 in assets for every client account. An average financial advisor at Autus Asset Management, LLC oversees about 319 client accounts.

The company's main office is located at 16435 North Scottsdale Road, Scottsdale, Arizona 85254. It is legally permitted to provide services to clients across 5 states, including Arizona, California, Nebraska, Texas and Washington.

Assets Under Management

$851.2 million

Number of Advisors

6

Disclosures

No

Office Location

16435 North Scottsdale Road
Scottsdale, AZ 85254

Autus Asset Management, LLC by the Numbers

Total Assets Under Management

$851.2 million

National Average: $3.3 billion
Total Number of Employees

6

National Average: 31
Total Number of Accounts

1,914

National Average: 1,935
Average Account Size

$444.7 thousand

National Average: $1.7 million

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Fee Structure

Fees charged by financial advisors are based on the services provided. Fee types charged by Autus Asset Management, LLC typically consist of the following fee structures: asset-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by Autus Asset Management, LLC.

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.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    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.

  • 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.

  • Find one of the 12% of firms that offer this fee type

    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 company caters to retail investors and high net worth investors. Out of its 1,914 customers, Autus Asset Management, LLC's largest client by number of accounts is high net worth investors, although it also serves 135 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 under management 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 are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 53.36%
  • Other Individuals - 46.64%
  • Corporations - 0%
  • 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

Autus Asset Management, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Autus Asset Management, LLC

John Stull
Phoenix, AZ
Donald Cuppy
Scottsdale, AZ
Kipp Goll
Scottsdale, AZ
Michael Konen
Scottsdale, AZ
Mark Fiedler
Scottsdale, AZ

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This content was compiled from the SEC and FINRA