Merwin Capital Management LLC

CRD#170319
Investment Advisor Firm

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Overview

Merwin Capital Management LLC is an advisory company headquartered in Scottsdale, Arizona. It oversees $31.2 million in total assets across 250 client accounts. The firm 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 advisor is not able to buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer firm to do so. Securities are exchangable financial investments like equities, options and bonds.

Merwin Capital Management LLC manages all of the company's client assets in a discretionary manner. Discretionary management means that an investment advisor makes transaction decisions without requiring the customer's authorization. The firm administers about $124,915 for every customer account. Under $100,000 of their investments for financial planning services were in securities, with under $100,000 invested in non-securities. The typical advisor at Merwin Capital Management LLC administers around 125 client accounts.

Merwin Capital Management LLC's central office is located at 4850 E. Desert Cove, Suite 150, Scottsdale, Arizona 85254-5390. The company is registered to provide services to customers across a number of states, including Arizona and California.

Assets Under Management

$31.2 million

Number of Advisors

2

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: 31
Total Number of Accounts

250

National Average: 1,935
Average Account Size

$124.9 thousand

National Average: $1.7 million

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Products and Services

Merwin Capital Management LLC provides a variety of financial services, which can include portfolio management for individuals and small businesses, selection of other advisers and other services. Notably, Merwin Capital Management LLC did not provide financial planning services to any of its clients in the prior financial year. The firm does not sell products or offer services aside from investment advice to its investment advisory clients.

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 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 for financial advice typically are based on the type of financial services offered. Fees billed by the company likely consist of some blend 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 provided by the firm. The firm is able to withdraw its expenses directly from customer accounts.

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 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

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    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

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    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 39% of firms that offer this fee type

    Fixed

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    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

Merwin Capital Management LLC caters to 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 caters to 25 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's accounts 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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Financial Advisors at Merwin Capital Management LLC

Robert Merwin
Scottsdale, AZ
Jordan Twogood
Scottsdale, AZ

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This content was compiled from the SEC and FINRA