Stonegate Capital Advisors, LLC

CRD#113843
Investment Advisor Firm

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Overview

Stonegate Capital Advisors, LLC operates as a financial advisor firm based in Scottsdale, Arizona. Stonegate Capital Advisors, LLC controls $349.0 million in assets under management throughout 1,079 customer accounts, placing it in the mid-tier of financial advisory firms in the nation by assets under management (AUM). Stonegate Capital Advisors, LLC has a small group of nine employees, including five financial advisors. Stonegate Capital Advisors, LLC is not a registered broker-dealer, signifying that the company cannot 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 defined as exchangable financial investments like options, bonds and equities.

Stonegate Capital Advisors, LLC manages all of the company's client assets in a discretionary manner. Discretionary management is a structure in which buy and sell decisions for the client's account are made by an investment advisor without needing client authorization. The investment advisory firm manages about $323,448 for every account. The average advisor at Stonegate Capital Advisors, LLC oversees around 216 client accounts.

The firm's central office is located at 6263 N Scottsdale Rd, Scottsdale, Arizona 85250. The company is legally allowed to provide services to customers across 4 states, including Arizona, California, Colorado and Texas.

Assets Under Management

$349.0 million

Number of Advisors

5

Fee Structure

Asset-based, Hourly, Fixed

Disclosures

No

Office Location

6263 N Scottsdale Rd
Scottsdale, AZ 85250

Stonegate Capital Advisors, LLC by the Numbers

Total Assets Under Management

$349.0 million

National Average: $3.3 billion
Total Number of Employees

9

National Average: 4,943
Total Number of Accounts

1,079

National Average: 2,522
Average Account Size

$323.4 thousand

National Average: $1.3 million

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Products and Services

Services provided by Stonegate Capital Advisors, LLC include financial planning services and portfolio management for individuals and small businesses. In the prior fiscal year, the firm provided financial planning services to 11-25 of its clients. Stonegate Capital Advisors, LLC is not involved in selling products or offering services other than investment advice to its investment advisory accounts.

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 are based on the services provided. However, fee types billed by Stonegate Capital Advisors, LLC likely consist of some blend of the following fee structures: asset-based, hourly or fixed. The firm does not supply a wrap fee program, in which the company offers a service bundle for a single 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 37% 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 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 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 firm works with high net worth investors, pension plans and charitable organizations. Out of its 1,079 clients, Stonegate Capital Advisors, LLC's largest client type by number of accounts is high net worth investors, though it also manages money for 235 high-net-worth individuals. The SEC defines a high-net-worth individual as a person who has at least $750,000 under management 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 the firm's customers are represented by non-U.S. persons.

  • High-Net-Worth Individuals* - 91.09%
  • Other Individuals - 0%
  • Corporations - 6.59%
  • Charitable Organizations - 2.33%

* 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

Stonegate Capital Advisors, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Stonegate Capital Advisors, LLC

Jameson Van Houten
Paradise Valley, AZ

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This content was compiled from the SEC and FINRA