Battle Capital Asset Management LLC

CRD#156266
Investment Advisor Firm

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Overview

Battle Capital Asset Management LLC is a financial advisory firm based in Scottsdale, Arizona. It handles $33.0 million in assets across 17 client accounts. The firm has a small group of one employee who is a financial advisor. Battle Capital Asset Management LLC does not act as a registered broker-dealer, signifying that the company is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer firm to do so. Securities are tradable fiscal assets such as bonds, equities and options.

Battle Capital Asset Management LLC administers all of the firm's accounts on a discretionary basis. Discretionary management signifies that buy and sell decisions for the client's account are made by a portfolio manager without requiring the client's approval. The firm administers about $1.9 million for each account. An average advisor at Battle Capital Asset Management LLC manages about 17 client accounts, making it one of the more individualized financial advisor firms in the country.

The firm's main office is located at 20555 North Pima Road, Scottsdale, Arizona 85255. The company is registered to serve clients across a number of states, including Arizona and South Dakota.

Assets Under Management

$33.0 million

Number of Advisors

1

Disclosures

No

Office Location

20555 North Pima Road
Scottsdale, AZ 85255

Battle Capital Asset Management LLC by the Numbers

Total Assets Under Management

$33.0 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 31
Total Number of Accounts

17

National Average: 1,935
Average Account Size

$1.9 million

National Average: $1.7 million

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Fee Structure

Fees for financial management largely vary depending on which services are offered. Fee types billed by Battle Capital Asset Management LLC can include some blend of the following fee types: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. It can withdraw its fees directly from client funds.

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 17% of firms

    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.

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 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 high net worth investors and pooled investment vehicles. Out of its 17 clients, Battle Capital Asset Management LLC's biggest client type is high net worth investors, though it also caters to four high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of more than $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's clients are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 80%
  • Other Individuals - 0%
  • Corporations - 20%
  • 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

Battle Capital Asset Management LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Battle Capital Asset Management LLC

Terrence Ormsbee
Scottsdale, AZ

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This content was compiled from the SEC and FINRA