Stonewall Equities, LTD

CRD#130015
Investment Advisor Firm

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Overview

Stonewall Equities, LTD operates as an advisory company based in Scottsdale, Arizona. It oversees $7.7 million in total assets across 30 client accounts. Stonewall Equities, LTD has a small team of one employee who is a financial advisor. Stonewall Equities, LTD does not act as a registered broker-dealer, meaning it is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer company to do so. Securities are defined as tradable financial assets such as bonds, options and equities.

Stonewall Equities, LTD oversees the majority of its accounts on a discretionary basis. Discretionary management is a structure in which a portfolio manager makes transaction decisions for the client's account without needing client authorization. Stonewall Equities, LTD also oversees 10 non-discretionary accounts totaling $2.2 million in assets under management. Stonewall Equities, LTD supervises about $255,605 in assets for every account. Under $100,000 of its financial planning investments were in securities, with under $100,000 invested in non-securities. An average advisor at Stonewall Equities, LTD administers around 30 client accounts, making it about average in terms of personalization.

The firm's central office is at 8777 North Gainey Center Drive, Scottsdale, Arizona 85258-2116. Stonewall Equities, LTD is legally allowed to provide services to clients in the state of Arizona.

Assets Under Management

$7.7 million

Number of Advisors

1

Fee Structure

Asset-based, Hourly, Fixed

Disclosures

No

Office Location

8777 North Gainey Center Drive
Scottsdale, AZ 85258-2116

Stonewall Equities, LTD by the Numbers

Total Assets Under Management

$7.7 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 4,943
Total Number of Accounts

30

National Average: 2,522
Average Account Size

$255.6 thousand

National Average: $1.3 million

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Products and Services

Stonewall Equities, LTD offers a variety of financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and pension consulting services. Notably, the firm did not provide any of its clients with financial planning services in the prior financial year. The company does not sell products or offer services other than investment advice to its investment advisory customers. It is affiliated with one or more other service providers in the financial services industry, 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

Financial advisory fees depend on which services the firm provides the client. However, fee types billed by the company likely are comprised of any combination of the following fee structures: asset-based, hourly or fixed. Stonewall Equities, LTD does participate in a wrap fee program, in which the firm offers a service bundle for a single fee. The company has the ability to withdraw the expenses directly from client accounts.

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

It provides services to retail investors, high net worth investors, pension plans and corporations. Out of its 30 customers, Stonewall Equities, LTD's biggest client is high net worth investors, but it also caters to 18 high-net-worth individuals. The SEC defines a high-net-worth individual as someone 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). None of the company's clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 60%
  • Other Individuals - 23.33%
  • Corporations - 16.67%
  • 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

Stonewall Equities, LTD 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