Merwin Capital Management LLC

CRD#170319
Investment Advisor Firm

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Overview

Merwin Capital Management LLC operates as an advisory firm that has its headquarters in Scottsdale, Arizona. It administers $31.2 million in assets throughout 250 customer accounts. The company has a small team of two employees, all of whom are financial advisors. Merwin Capital Management LLC is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its clients' and own accounts and instead is required to go through a broker-dealer firm to do so. Securities are exchangable fiscal assets such as bonds, stocks and options.

Merwin Capital Management LLC administers all of its accounts on a discretionary basis. Discretionary management is a structure in which buy and sell decisions are made by a portfolio manager without requiring the customer's consent. The investment advisory firm oversees an average of $124,915 in assets for each client account. Under $100,000 of their financial planning investments were in securities, with under $100,000 invested in non-securities. The typical financial advisor at Merwin Capital Management LLC oversees about 125 client accounts.

The firm's main office is located at 4850 E. Desert Cove, Suite 150, Scottsdale, Arizona 85254-5390. The firm is allowed to serve customers throughout a number of states, including Arizona and California.

Assets Under Management

$31.2 million

Number of Advisors

2

Fee Structure

Asset-based, Hourly, Other

Disclosures

No

Office Location

4850 E. Desert Cove, Suite 150
Scottsdale, AZ 85254-5390

Merwin Capital Management LLC by the Numbers

Total Assets Under Management

$31.2 million

National Average: $3.3 billion
Total Number of Employees

2

National Average: 4,943
Total Number of Accounts

250

National Average: 2,522
Average Account Size

$124.9 thousand

National Average: $1.3 million

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Products and Services

Merwin Capital Management LLC offers a variety of financial services, which can consist of portfolio management for individuals and small businesses, selection of other advisers and other services. However, Merwin Capital Management LLC did not provide financial planning services to any of its accounts in the previous fiscal year. The company does not sell products or offer services aside from investment advisory services to its investment advisory accounts.

Core Advisor Services

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    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

Fees charged by financial advisors depend on which services the firm provides the client. Fees billed by the company can be comprised of any combination of the following fee structures: asset-based, hourly or other. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. The company can withdraw its charges directly from customer funds.

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 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 3% of firms that offer this fee type

    Commissions

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    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 40% of firms that offer this fee type

    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.

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Types of Clients

The firm works with retail investors and high net worth investors. Out of its 250 clients, Merwin Capital Management LLC's largest client type by number of accounts is retail investors, but it also manages money for 25 high-net-worth individuals. The SEC defines a high-net-worth individual as someone 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). None of the firm's clients are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 22.12%
  • Other Individuals - 77.88%
  • 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

Merwin Capital Management LLC 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