Copperwynd Financial

CRD#143442
Investment Advisor Firm

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Overview

Copperwynd Financial operates as a financial advisory company that has its headquarters in Scottsdale, Arizona. Copperwynd Financial handles $296.4 million in total assets throughout 1,428 customer accounts, placing it in the mid-tier of firms in the United States by assets under management (AUM). The firm has a small team of seven employees, four of whom are financial advisors. Copperwynd Financial is not a registered broker-dealer, signifying that it cannot buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer firm to do so. Securities are tradable fiscal assets like stocks, bonds and options.

Copperwynd Financial manages all of its client assets on a discretionary basis. Discretionary management is a structure in which transaction choices are made by an investment advisor without requiring the customer's permission. The firm oversees an average of $207,597 for each customer account. An average advisor at Copperwynd Financial administers about 357 client accounts.

The firm's main office is located at 14256 N. Northsight Blvd., Scottsdale, Arizona 85260. The firm is registered to serve clients across 7 states, including Arizona, California, Colorado, Idaho, Nevada, Texas and Utah.

Assets Under Management

$296.4 million

Number of Advisors

4

Fee Structure

Asset-based, Hourly, Fixed

Disclosures

No

Office Location

14256 N. Northsight Blvd.
Scottsdale, AZ 85260

Copperwynd Financial by the Numbers

Total Assets Under Management

$296.4 million

National Average: $3.3 billion
Total Number of Employees

7

National Average: 4,943
Total Number of Accounts

1,428

National Average: 2,522
Average Account Size

$207.6 thousand

National Average: $1.3 million

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Products and Services

Copperwynd Financial offers multiple financial services, which can include financial planning services, portfolio management for individuals and small businesses and pension consulting services. Notably, the firm did not provide financial planning services to any of its customers in the last financial year. It is engaged in selling products or offering services other than investment advisory services to its customers.

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

Financial advisory fees usually vary depending on which service is offered. Fee types charged by the company can include the following fee structures: asset-based, hourly or fixed. The firm participates in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.

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 37% 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.

  • Offered by 40% of firms

    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.

Unavailable

  • 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 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 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 provides services to retail investors, high net worth investors and pension plans. Out of its 1,428 clients, Copperwynd Financial's largest client type by number of accounts is retail investors, but it also manages money for 95 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 in AUM or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its customers are from outside of the U.S.

  • High-Net-Worth Individuals* - 21.64%
  • Other Individuals - 76.54%
  • Corporations - 1.82%
  • 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

Copperwynd Financial does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Copperwynd Financial

Erick Newton
Scottsdale, AZ

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This content was compiled from the SEC and FINRA