Dew Wealth Management

CRD#114148
Investment Advisor Firm

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Overview

Dew Wealth Management operates as a financial advisory company headquartered in Scottsdale, Arizona. Dew Wealth Management administers $137.5 million in total assets over 378 client accounts, placing it in the mid-tier of firms in the nation by assets under management (AUM). It has a small group of five employees, including two financial advisors. Dew Wealth Management is not a registered broker-dealer, meaning it is not able to buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer firm to do so. Securities are defined as exchangable financial investments such as bonds, options and stocks.

Dew Wealth Management oversees three of its accounts in a discretionary manner. Discretionary management is a structure in which buy and sell choices are made by an investment advisor without needing to seek the client's authorization. Dew Wealth Management also has 375 non-discretionary accounts totaling $132.0 million in assets. The advisory firm oversees about $363,871 for each account. The average advisor at Dew Wealth Management oversees around 189 client accounts.

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

Assets Under Management

$137.5 million

Number of Advisors

2

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: 31
Total Number of Accounts

378

National Average: 1,935
Average Account Size

$363.9 thousand

National Average: $1.7 million

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Products and Services

Dew Wealth Management offers a number of financial services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services and selection of other advisers. In the last fiscal year, the company provided 101-250 of its accounts with financial planning services. The firm is involved in selling products or offering services different than investment advice to its customers.

Core Advisor Services

  • Offered by 44% 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 61% 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

Fees charged by financial advisors typically depend on which services the firm provides the client. Fee types billed by the firm most likely include the following fee types: asset-based, hourly, fixed, commission-based or other. The company does participate in a wrap fee program, in which the company offers a service bundle for a comprehensive fee.

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 35% 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 2% 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 39% 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

The firm works with retail investors and high net worth investors. Out of its 378 accounts, Dew Wealth Management's largest client group by number of accounts is high net worth investors, although it also caters to 77 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 is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's accounts are represented by non-U.S. persons.

  • 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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Financial Advisors at Dew Wealth Management

Bryce Keffeler
Scottsdale, AZ
James Dew
Scottsdale, AZ

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This content was compiled from the SEC and FINRA