Stableford Capital LLC

CRD#173383
Investment Advisor Firm

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Overview

Stableford Capital LLC is a financial advisor firm based in Scottsdale, Arizona. Stableford Capital LLC administers $157.1 million in assets over 273 client accounts, placing it in the mid-tier of firms in the nation by assets under management (AUM). The firm has a small group of five employees, all of whom are financial advisors. Stableford Capital LLC does not act as a registered broker-dealer, signifying that the firm cannot buy and sell securities for its accounts and those of its clients and instead has to go through a broker-dealer firm to do so. Securities are defined as exchangable financial assets such as options, equities and bonds.

Stableford Capital LLC administers more than half of its client assets in a discretionary manner. Discretionary management is a structure in which transaction judgments for the client's account are made by an investment advisor without requiring client permission. The company also manages five non-discretionary accounts with a total of $2.8 million in assets under management. The advisory firm's typical account size is $575,567. The average advisor at Stableford Capital LLC administers about 55 client accounts, making it about average in terms of personalization.

The company's headquarters is located at 14646 North Kierland Blvd., Scottsdale, Arizona 85254. The company is legally registered to serve investors throughout 7 states, including Arizona, California, Connecticut, Georgia, Illinois, Indiana and Texas.

Assets Under Management

$157.1 million

Number of Advisors

5

Fee Structure

Asset-based, Fixed

Disclosures

No

Office Location

14646 North Kierland Blvd.
Scottsdale, AZ 85254

Stableford Capital LLC by the Numbers

Total Assets Under Management

$157.1 million

National Average: $3.3 billion
Total Number of Employees

5

National Average: 4,943
Total Number of Accounts

273

National Average: 2,522
Average Account Size

$575.6 thousand

National Average: $1.3 million

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Products and Services

Stableford Capital LLC provides a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services and other services. In the past fiscal year, Stableford Capital LLC provided financial planning services to 51-100 of its accounts. Stableford Capital LLC is not involved in selling products or offering services aside from investment advisory services to its investment advisory customers. Stableford Capital LLC also has a number of financial industry affiliations, including with an accountant or accounting firm.

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

Fees for financial advice largely depend on the financial services offered. However, fee types billed by Stableford Capital LLC may include the following fee structures: asset-based or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.

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

The company caters to retail investors, high net worth investors, pension plans and corporations. Out of its 273 customers, Stableford Capital LLC's biggest client by number of accounts is retail investors, but it also manages money for 46 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 more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 2% of its accounts reside abroad.

  • High-Net-Worth Individuals* - 43.4%
  • Other Individuals - 46.23%
  • Corporations - 10.38%
  • 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

Stableford Capital LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Stableford Capital LLC

Nathan Faldmo
Scottsdale, AZ
Nikki Polistina
Scottsdale, AZ

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This content was compiled from the SEC and FINRA