Capital Trust Wealth Management

CRD#150860
Investment Advisor Firm

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Overview

Capital Trust Wealth Management is a financial advisor company located in Scottsdale, Arizona. Capital Trust Wealth Management controls $25.0 million in total assets across 50 accounts. The company has a small group of one employee who is a financial advisor. Capital Trust Wealth Management is not a registered broker-dealer, signifying that the company cannot buy and sell securities for its accounts and those of its customers and instead must go through a broker-dealer company to do so. Securities are exchangable financial assets like options, bonds and stocks.

Capital Trust Wealth Management manages all of the company's client assets on a discretionary basis. Discretionary management means that buy and sell judgments for the client's account are made by an investment advisor without needing the customer's consent. The advisory firm administers an average of $500,000 for every customer account. $2,500,001 to $5,000,000 of their investments for financial planning services were in securities, with $2,500,001 to $5,000,000 placed in non-securities. The average advisor at Capital Trust Wealth Management administers around 50 client accounts, placing it towards the middle in terms of personalization.

The company's main office is located at 7047 E. Greenway Parkway, Suite 25, Scottsdale, Arizona 85254. The company is registered to provide services to customers throughout a few states, including Arizona, Illinois, Indiana and Michigan.

Assets Under Management

$25.0 million

Number of Advisors

1

Fee Structure

Asset-based, Performance-based

Disclosures

Yes

Office Location

7047 E. Greenway Parkway, Suite 25
Scottsdale, AZ 85254

Capital Trust Wealth Management by the Numbers

Total Assets Under Management

$25.0 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 4,943
Total Number of Accounts

50

National Average: 2,522
Average Account Size

$500.0 thousand

National Average: $1.3 million

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Products and Services

Capital Trust Wealth Management provides multiple financial services, including financial planning services, portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. In the last fiscal year, the company provided financial planning services to 51-100 of its accounts. It does sell products or offer services other than investment advice to its clients.

Core Advisor Services

  • Offered by 45% 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 63% of firms

    Portfolio Management

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

  • Find a firm that offers this service

    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

Fees for financial management are based on which service is provided. However, fee types charged by the firm likely include any combination of the following fee types: asset-based or performance-based. The company does not provide a wrap fee program, in which the firm offers a service bundle for a single fee. Capital Trust Wealth Management can withdraw the fees directly from client funds.

Available

  • Offered by 75% 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 37% 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 3% 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 40% 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

It caters to retail investors and high net worth investors. Out of its 50 clients, Capital Trust Wealth Management's largest client type is retail investors, but it also caters to 16 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as 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* - 26.67%
  • Other Individuals - 73.33%
  • 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

Capital Trust Wealth Management has disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA