Spahn Wealth & Retirement LLC

CRD#285932
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Spahn Wealth & Retirement LLC operates as an advisory firm based in Scottsdale, Arizona. The firm oversees $42.9 million in total assets throughout 131 customer accounts. Spahn Wealth & Retirement LLC has a small group of one employee who is a financial advisor. Spahn Wealth & Retirement LLC is not a registered broker-dealer, signifying that it is not able to buy and sell securities for its own accounts as well as its clients' and instead has to go through a broker-dealer company to do so. Securities are defined as exchangable fiscal assets such as options, equities and bonds.

Spahn Wealth & Retirement LLC manages all of the company's accounts in a discretionary manner. Discretionary management signifies that an investment advisor makes transaction choices for the client's account without requiring the customer's approval. The firm's average account size is $327,273. 10000000 of its financial planning investments were in securities, with under $100,000 invested in non-securities. The average financial advisor at Spahn Wealth & Retirement LLC manages around 131 client accounts.

Spahn Wealth & Retirement LLC's central office is located at 7150 East Camelback Road, Scottsdale, Arizona 85251. The firm is registered to serve clients in the state of Arizona.

Assets Under Management

$42.9 million

Number of Advisors

1

Disclosures

No

Office Location

7150 East Camelback Road
Scottsdale, AZ 85251

Spahn Wealth & Retirement LLC by the Numbers

Total Assets Under Management

$42.9 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 31
Total Number of Accounts

131

National Average: 1,935
Average Account Size

$327.3 thousand

National Average: $1.7 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Spahn Wealth & Retirement LLC offers a variety of financial services, which can include financial planning services, portfolio management for individuals and small businesses and selection of other advisers. In the last fiscal year, the company provided 11-25 of its customers with financial planning services. It does sell products or offer services different than investment advisory services to its clients.

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.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Find a firm that offers this service

    Educational Seminars/Workshops

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

Back to Overview

Fee Structure

Financial management fees typically are based on which services are provided. However, fees billed by Spahn Wealth & Retirement LLC likely include the following fee types: asset-based, hourly or fixed. Spahn Wealth & Retirement LLC does not provide a wrap fee program, in which the firm offers a service bundle for a comprehensive fee. The company can withdraw the fees directly from customer 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.

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.

  • 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.

Back to Overview

Types of Clients

It caters to retail investors and high net worth investors. Out of its 131 customers, Spahn Wealth & Retirement LLC's largest client by number of accounts is retail investors, though it also manages money for 13 high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person 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 from outside of the U.S.

  • High-Net-Worth Individuals* - 23.21%
  • Other Individuals - 76.79%
  • 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.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Spahn Wealth & Retirement LLC does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

Financial Advisors at Spahn Wealth & Retirement LLC

Kyle Spahn
Scottsdale, AZ

Not sure which advisor is right for you? Use our matching tool

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Click here to find your advisor matches today

Back to Overview

This content was compiled from the SEC and FINRA