Paul Marascalco Registered Investment Advisor

CRD#198512
Investment Advisor Firm

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Overview

Paul Marascalco Registered Investment Advisor operates as an advisory company based in Scottsdale, Arizona. The company has $11.6 million in total assets across 25 customer accounts. It has a small team of one employee who is a financial advisor. Paul Marascalco Registered Investment Advisor is not a registered broker-dealer, meaning it is not able to buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are tradable fiscal investments like options, equities and bonds.

Paul Marascalco Registered Investment Advisor administers all of the company's accounts in a discretionary manner. Discretionary management is a structure in which transaction choices are made by an investment advisor without needing client permission. The investment advisory firm oversees about $464,000 in assets for each client account. Under $100,000 of its financial planning investments were in securities, with under $100,000 placed in non-securities. An average advisor at Paul Marascalco Registered Investment Advisor oversees about 25 client accounts, placing it among the more individualized advisor firms in the country.

Paul Marascalco Registered Investment Advisor's headquarters is located at 7047 E. Greenway Parkway, Scottsdale, Arizona 85254. The firm is legally permitted to provide services to clients throughout 2 states, including Arizona and Texas.

Assets Under Management

$11.6 million

Number of Advisors

1

Fee Structure

Asset-based, Fixed

Disclosures

No

Office Location

7047 E. Greenway Parkway
Scottsdale, AZ 85254

Paul Marascalco Registered Investment Advisor by the Numbers

Total Assets Under Management

$11.6 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 4,943
Total Number of Accounts

25

National Average: 2,522
Average Account Size

$464.0 thousand

National Average: $1.3 million

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Products and Services

Financial services offered by Paul Marascalco Registered Investment Advisor include financial planning services and portfolio management for individuals and small businesses. However, the firm did not provide financial planning services to any of its customers in the last fiscal year. The firm does not sell products or offer services other than investment advice to its investment advisory customers.

Core Advisor Services

  • Offered by 45% 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 63% 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

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Fee Structure

Financial management fees largely depend on which service is offered. However, fees billed by Paul Marascalco Registered Investment Advisor can include some combination of the following fee types: asset-based or fixed. The company does not provide a wrap fee program, in which the company offers a service bundle for a comprehensive fee. The firm can withdraw its expenses 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 40% 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 37% of firms that offer this fee type

    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.

  • Find one of the 3% 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.

  • Find one of the 12% of firms that offer this fee type

    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 and high net worth investors. Out of its 25 customers, Paul Marascalco Registered Investment Advisor's biggest client type is retail investors, but it also manages money for seven high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its customers reside abroad.

  • High-Net-Worth Individuals* - 28%
  • Other Individuals - 72%
  • 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

Paul Marascalco Registered Investment Advisor 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