Intelligent Capitalworks

CRD#135081
Investment Advisor Firm

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Overview

Intelligent Capitalworks operates as a financial advisory company based in Scottsdale, Arizona. The firm administers $162.2 million in total assets over 222 client accounts, placing it in the mid-tier of financial advisory firms in the country by assets under management (AUM). The firm has a small team of six employees, including three financial advisors. Intelligent Capitalworks does not act as a registered broker-dealer, signifying that the company is not able to buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer firm to do so. Securities are tradable financial investments such as stocks, bonds and options.

Intelligent Capitalworks oversees 219 of the company's client assets on a discretionary basis. Discretionary management signifies that buy and sell judgments for the client's account are made by an investment advisor without requiring the client's approval. The company also manages three non-discretionary accounts totaling $1.6 million in assets under management. Intelligent Capitalworks manages an average of $730,631 for each account. An average advisor at Intelligent Capitalworks manages around 74 client accounts, placing it towards the middle in terms of personalization.

The firm's central office is at 16427 North Scottsdale Road, Scottsdale, Arizona 85254-1595. The firm is legally registered to provide services to investors across 5 states, including Arizona, Delaware, Florida, Louisiana and Texas.

Assets Under Management

$162.2 million

Number of Advisors

3

Disclosures

No

Office Location

16427 North Scottsdale Road
Scottsdale, AZ 85254-1595

Intelligent Capitalworks by the Numbers

Total Assets Under Management

$162.2 million

National Average: $3.3 billion
Total Number of Employees

6

National Average: 31
Total Number of Accounts

222

National Average: 1,935
Average Account Size

$730.6 thousand

National Average: $1.7 million

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Products and Services

Financial services offered by Intelligent Capitalworks can include financial planning services and portfolio management for individuals and small businesses. In the prior fiscal year, it provided financial planning services to 51-100 of its clients. Intelligent Capitalworks does not sell products or offer services aside from investment advice to its investment advisory accounts.

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

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Fee Structure

Fees charged by financial advisors typically vary depending on which services the firm provides the client. Fees charged by the firm can be comprised of some blend of the following fee types: asset-based, hourly or fixed. The firm does not participate in a wrap fee program, in which the company offers a service bundle for a single 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 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.

Unavailable

  • 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 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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    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 provides services to retail investors, high net worth investors and charitable organizations. Out of its 222 customers, Intelligent Capitalworks's largest client type by number of accounts is high net worth investors, though it also manages money for 53 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 at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its customers are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 71.62%
  • Other Individuals - 25.68%
  • Corporations - 0%
  • Charitable Organizations - 2.7%

* 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

Intelligent Capitalworks does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Intelligent Capitalworks

Charles Rossi
Scottsdale, AZ
R. Scott Chalmers
Fort Myers, FL
Vincent Rossi
Scottsdale, AZ
Monique Pressley
Scottsdale, AZ

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This content was compiled from the SEC and FINRA