Stuart Investments

CRD#130052
Investment Advisor Firm

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Overview

Stuart Investments is a financial advisor firm that has its headquarters in Scottsdale, Arizona. Stuart Investments manages $12.0 million in assets under management across 17 client accounts. The firm has a small group of three employees, of which 1 is a financial advisor. Stuart Investments is not a registered broker-dealer, meaning the advisor cannot buy and sell securities for its accounts and those of its customers and instead has to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal assets like options, bonds and stocks.

Stuart Investments manages most of its client assets in a discretionary manner. Discretionary management means that a portfolio manager has the discretion to make transaction judgments for the client's account without needing to seek client permission. The firm also oversees eight non-discretionary accounts totaling $6.0 million in assets under management. The advisory firm's typical account size is $705,882. $6,000,000 of its financial planning investments were in securities, with $1,000,001 to $2,500,000 invested in non-securities. The average advisor at Stuart Investments administers about 17 client accounts, making it one of the more individualized firms in the country.

The firm's central office is at 7702 E. Doubletree Ranch Road, Scottsdale, Arizona 85258. Stuart Investments is registered to serve investors in the state of Arizona.

Assets Under Management

$12.0 million

Number of Advisors

1

Fee Structure

Asset-based, Hourly

Disclosures

No

Office Location

7702 E. Doubletree Ranch Road
Scottsdale, AZ 85258

Stuart Investments by the Numbers

Total Assets Under Management

$12.0 million

National Average: $3.3 billion
Total Number of Employees

3

National Average: 4,943
Total Number of Accounts

17

National Average: 2,522
Average Account Size

$705.9 thousand

National Average: $1.3 million

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Products and Services

Stuart Investments offers a variety of services, which can include financial planning services, portfolio management for individuals and small businesses, selection of other advisers and other services. In the prior financial year, Stuart Investments provided financial planning services to 1-10 of its clients. The firm does not sell products or offer services other than investment advisory services to its investment advisory customers.

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.

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    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.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

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

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Fee Structure

A financial advisor's fees largely are based on the type of financial services offered. However, fees charged by Stuart Investments most likely consist of the following fee types: asset-based or hourly. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the firm. It can withdraw the fees directly from customer funds.

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.

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 40% 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 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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Disclosures

Stuart Investments 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