Stuart Investments

CRD#130052
Investment Advisor Firm

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Overview

Stuart Investments is a financial advisory company that has its headquarters in Scottsdale, Arizona. The company administers $7.9 million in total assets throughout 11 customer accounts. It has a small group of one employee who is a financial advisor. Stuart Investments does not act as 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 is required to go through a broker-dealer firm to do so. Securities are defined as tradable financial investments such as bonds, stocks and options.

Stuart Investments administers all of its client assets in a discretionary manner. Discretionary management signifies that a portfolio manager has the discretion to make buy and sell choices without needing to seek client permission. The advisory firm's typical account size is $718,182. 6000000 of their financial planning investments were in securities, with $1,000,001 to $2,500,000 placed in non-securities. An average advisor at Stuart Investments administers around 11 client accounts, placing it among the more personalized advisor firms in the country.

The company's headquarters is at 7702 E. Doubletree Ranch Road, Scottsdale, Arizona 85258. Stuart Investments is legally permitted to serve clients in the state of Arizona.

Assets Under Management

$7.9 million

Number of Advisors

1

Disclosures

No

Office Location

7702 E. Doubletree Ranch Road
Scottsdale, AZ 85258

Stuart Investments by the Numbers

Total Assets Under Management

$7.9 million

National Average: $3.3 billion
Total Number of Employees

1

National Average: 31
Total Number of Accounts

11

National Average: 1,935
Average Account Size

$718.2 thousand

National Average: $1.7 million

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Products and Services

Stuart Investments offers a number of services, which can include financial planning services, portfolio management for individuals and small businesses, selection of other advisers and other services. In the past fiscal year, the company provided 1-10 of its clients with financial planning services. Stuart Investments is not involved in selling products or offering services apart from investment advisory services to its investment advisory clients.

Core Advisor Services

  • Offered by 44% 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 61% 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

Fees for financial advice usually are based on the type of financial services provided. Fee types billed by the firm likely consist of some blend of the following fee structures: asset-based or hourly. The company does not provide a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee. It is able to withdraw the expenses directly from client funds.

Available

  • Offered by 72% 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 35% 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 2% 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 39% 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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Types of Clients

It works with high net worth investors. Out of its 11 accounts, Stuart Investments's biggest client type by number of accounts is high net worth investors, though it also manages money for five high-net-worth individuals. The SEC defines a high-net-worth individual as a person 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 the company's clients are non-U.S. persons.

  • High-Net-Worth Individuals* - 100%
  • Other Individuals - 0%
  • 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

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