Krozel Capital Management, LLC

CRD#174813
Investment Advisor Firm

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Overview

Krozel Capital Management, LLC operates as an advisory company based in Scottsdale, Arizona. The firm controls $2.3 million in total assets throughout 22 client accounts. The company has a small group of one employee who is a financial advisor. Krozel Capital Management, LLC does not act as a registered broker-dealer, signifying that the firm cannot buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are defined as exchangable financial assets such as stocks, options and bonds.

Krozel Capital Management, LLC oversees all of the firm's client assets in a discretionary manner. Discretionary management signifies that buy and sell choices are made by a portfolio manager without needing to seek the client's authorization. The advisory firm's typical account size is $105,931. Under $100,000 of its investments for financial planning services were in securities, with under $100,000 placed in non-securities. The typical financial advisor at Krozel Capital Management, LLC oversees about 22 client accounts, making it one of the more personalized firms in the country.

The firm's headquarters is at 6424 E. Greenway Pkwy, Suite 100, Scottsdale, Arizona 85254. The company is legally registered to provide services to investors in the state of Arizona.

Assets Under Management

$2.3 million

Number of Advisors

1

Disclosures

No

Office Location

6424 E. Greenway Pkwy, Suite 100
Scottsdale, AZ 85254

Krozel Capital Management, LLC by the Numbers

Total Assets Under Management

$2.3 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 31
Total Number of Accounts

22

National Average: 1,935
Average Account Size

$105.9 thousand

National Average: $1.7 million

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Products and Services

Krozel Capital Management, LLC provides a number of financial services, which can include financial planning services, portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters and educational seminars. In the prior financial year, the company provided 1-10 of its clients with financial planning services. The company is involved in selling products or offering services different than investment advice to its clients. The firm is affiliated with one or more other service providers in the financial services industry, including with an accountant or accounting firm.

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.

  • 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

  • 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.

  • Offered by 4% of firms

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Offered by 10% of firms

    Educational Seminars/Workshops

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

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Fee Structure

Fees for financial management vary depending on the services provided. However, fees charged by Krozel Capital Management, LLC most likely include any blend of the following fee types: asset-based, hourly, fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. Krozel Capital Management, LLC can withdraw the fees directly from client funds.

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.

  • 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 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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Types of Clients

Krozel Capital Management, LLC provides services to retail investors. Out of its 22 customers, Krozel Capital Management, LLC's largest client type by number of accounts is retail investors. Just 1% of its accounts are non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 100%
  • 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

Krozel Capital Management, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Krozel Capital Management, LLC

Kaitlin Krozel
Scottsdale, AZ

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This content was compiled from the SEC and FINRA