Scottsdale Wealth Planning, Inc

CRD#169248
Investment Advisor Firm

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Overview

Scottsdale Wealth Planning, Inc is a financial advisor company headquartered in Scottsdale, Arizona. It controls $97.3 million in assets under management over 423 customer accounts. It has a small team of two employees, all of whom are financial advisors. Scottsdale Wealth Planning, Inc does not act as a registered broker-dealer, signifying that it cannot 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 tradable financial assets such as stocks, options and bonds.

Scottsdale Wealth Planning, Inc administers all of the company's accounts in a discretionary manner. Discretionary management signifies that an investment advisor has the discretion to make buy and sell judgments without needing to seek client approval. The company supervises roughly $229,970 for every account. The typical advisor at Scottsdale Wealth Planning, Inc oversees about 212 client accounts.

The firm's main office is located at 7033 E. Main Street, Scottsdale, Arizona 85251. The company is permitted to serve customers throughout 2 states, including Arizona and Texas.

Assets Under Management

$97.3 million

Number of Advisors

2

Fee Structure

Asset-based, Fixed

Disclosures

No

Office Location

7033 E. Main Street
Scottsdale, AZ 85251

Scottsdale Wealth Planning, Inc by the Numbers

Total Assets Under Management

$97.3 million

National Average: $3.3 billion
Total Number of Employees

2

National Average: 4,943
Total Number of Accounts

423

National Average: 2,522
Average Account Size

$230.0 thousand

National Average: $1.3 million

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Products and Services

Scottsdale Wealth Planning, Inc offers multiple financial services, including financial planning services, portfolio management for individuals and small businesses and educational seminars. In the prior fiscal year, the firm provided financial planning services to 51-100 of its customers. The firm does sell products or offer services aside from investment advisory services to its clients.

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

  • Find a firm that offers this service

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

  • Find a firm that offers this service

    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

A financial advisor's fees usually are based on which services the firm provides the client. Fee types charged by the company likely include any combination of the following fee types: asset-based or fixed. Scottsdale Wealth Planning, Inc does not provide a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.

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

Scottsdale Wealth Planning, Inc works with retail investors and high net worth investors. Out of its 423 customers, Scottsdale Wealth Planning, Inc's biggest client is retail investors, though it also serves 35 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's accounts are represented by people from outside of the U.S.

  • High-Net-Worth Individuals* - 45.45%
  • Other Individuals - 54.55%
  • 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

Scottsdale Wealth Planning, Inc 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