Dew Wealth Management

CRD#114148
Investment Advisor Firm

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Overview

Dew Wealth Management is a financial advisory firm headquartered in Scottsdale, Arizona. The company oversees $137.5 million in total assets throughout 378 client accounts, making it a mid-tier firm in the nation by assets under management (AUM). It has a small team of five employees, two of whom are financial advisors. Dew Wealth Management is not a registered broker-dealer, meaning 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 defined as tradable financial assets such as options, stocks and bonds.

Dew Wealth Management administers some of the firm's client assets in a discretionary manner. Discretionary management is a structure in which buy and sell judgments are made by an investment advisor without needing to seek the client's approval. The company also manages 375 non-discretionary accounts totaling $132.0 million in AUM. The firm's typical account size is $363,871. An average financial advisor at Dew Wealth Management manages around 189 client accounts.

The company's central office is located at 8888 E. Raintree Drive, Scottsdale, Arizona 85260. The company is registered to provide services to clients across 4 states, including Arizona, California, Nebraska and Texas.

Assets Under Management

$137.5 million

Number of Advisors

2

Fee Structure

Asset-based, Hourly, Fixed, Commission-based, Other

Disclosures

No

Office Location

8888 E. Raintree Drive
Scottsdale, AZ 85260

Dew Wealth Management by the Numbers

Total Assets Under Management

$137.5 million

National Average: $3.3 billion
Total Number of Employees

5

National Average: 4,943
Total Number of Accounts

378

National Average: 2,522
Average Account Size

$363.9 thousand

National Average: $1.3 million

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Products and Services

Dew Wealth Management offers multiple services, which can include financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. In the past financial year, the company provided financial planning services to 101-250 of its clients. Dew Wealth Management does sell products or offer services aside from investment advice 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.

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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

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees depend on which services the firm provides the client. However, fee types charged by the company likely include some blend of the following fee types: asset-based, hourly, fixed, commission-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are provided by Dew Wealth Management.

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 3% of firms

    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.

  • 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.

  • Offered by 12% of firms

    Other

    Show Explanation

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

Unavailable

  • 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.

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Types of Clients

It works with retail investors and high net worth investors. Out of its 378 clients, Dew Wealth Management's biggest client type by number of accounts is high net worth investors, but it also manages money for 77 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's accounts are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 53.47%
  • Other Individuals - 46.53%
  • 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

Dew Wealth Management does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA