Spahn Wealth & Retirement LLC

CRD#285932
Investment Advisor Firm

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Overview

Spahn Wealth & Retirement LLC operates as a financial advisory firm headquartered in Scottsdale, Arizona. The firm administers $100.9 million in total assets across 220 customer accounts, placing it in the mid-tier of firms in the country by assets under management (AUM). The firm has a small group, including 1 financial advisor. Spahn Wealth & Retirement LLC is not a registered broker-dealer, signifying that the advisor is not able to buy and sell securities for its accounts and those of its customers and instead has to go through a broker-dealer company to do so. Securities are tradable financial investments such as options, bonds and stocks.

Spahn Wealth & Retirement LLC administers all of its accounts in a discretionary manner. Discretionary management signifies that an investment advisor makes transaction choices without requiring client approval. The investment advisory firm oversees an average of $458,845 for each account. An average financial advisor at Spahn Wealth & Retirement LLC administers about 220 client accounts.

The firm's central office is at 4310 North 75Th Street, Scottsdale, Arizona 85251. Spahn Wealth & Retirement LLC is registered to provide services to clients in the state of Arizona.

Assets Under Management

$100.9 million

Number of Advisors

1

Disclosures

No

Office Location

4310 North 75Th Street
Scottsdale, AZ 85251

Spahn Wealth & Retirement LLC by the Numbers

Total Assets Under Management

$100.9 million

National Average: $8.6 billion
Total Number of Employees

1

National Average: 64
Total Number of Accounts

220

National Average: 375,227
Average Account Size

$458.8 thousand

National Average: $23.0 thousand
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Fee Structure

Financial advisory fees largely are based on the services offered. However, fees billed by the firm typically consist of the following fee type: asset-based. The company does not participate in a wrap fee program, in which the firm offers a bundle of services for a single fee.

Available

  • Offered by 69% 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.

Unavailable

  • Find one of the 21% 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 1% 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 26% 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 0% 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 32% 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.

  • Find one of the 10% 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

The firm provides services to retail investors and high net worth investors. Out of its 220 accounts, Spahn Wealth & Retirement LLC's biggest client group is retail investors, although it also manages money for 28 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual 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 its clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 31.11%
  • Other Individuals - 68.89%
  • 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

Spahn Wealth & Retirement LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Spahn Wealth & Retirement LLC

Kyle Spahn
Scottsdale, AZ

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.