Vestpointe Wealth Management, LLC

CRD#132591
Investment Advisor Firm

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Overview

Vestpointe Wealth Management, LLC operates as an advisory firm based in Scottsdale, Arizona. It controls $71.6 million in assets under management across 318 client accounts. It has a small team of five employees, all of whom are financial advisors. Vestpointe Wealth Management, LLC does not act as a registered broker-dealer, meaning the firm is not able to buy and sell securities for its accounts and those of its clients and instead must go through a broker-dealer firm to do so. Securities are exchangable financial investments like equities, options and bonds.

Vestpointe Wealth Management, LLC manages most of the firm's client assets on a discretionary basis. Discretionary management signifies that an investment advisor makes transaction judgments without requiring client permission. The firm also manages 24 non-discretionary accounts totaling $2.0 million in AUM. The advisory firm's average account size is $225,226. Under $100,000 of its investments for financial planning services were in securities, with under $100,000 invested in non-securities. The average advisor at Vestpointe Wealth Management, LLC administers around 64 client accounts, making it about average in terms of personalization.

The firm's headquarters is located at 7373 E. Doubletree Ranch Rd., Scottsdale, Arizona 85258. The firm is legally registered to provide services to customers in the state of Arizona.

Assets Under Management

$71.6 million

Number of Advisors

5

Fee Structure

Asset-based, Hourly, Fixed, Other

Disclosures

No

Office Location

7373 E. Doubletree Ranch Rd.
Scottsdale, AZ 85258

Vestpointe Wealth Management, LLC by the Numbers

Total Assets Under Management

$71.6 million

National Average: $3.3 billion
Total Number of Employees

5

National Average: 4,943
Total Number of Accounts

318

National Average: 2,522
Average Account Size

$225.2 thousand

National Average: $1.3 million

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Products and Services

Vestpointe Wealth Management, LLC offers a variety of financial services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. However, it did not provide financial planning services to any of its clients in the prior fiscal year. The firm does not sell products or offer services apart from investment advisory services to its investment advisory customers. The company 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

  • 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.

  • Find a firm that offers this service

    Publication of Periodicals

    This is the publication of various financial education materials.

  • Find a firm that offers this service

    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 advisory services vary depending on which services the firm provides the client. However, fees charged by the firm most likely consist of the following fee structures: asset-based, hourly, fixed or other. The company does not provide a wrap fee program, in which the firm offers a service bundle for a comprehensive fee. The company is able to withdraw the fees directly from customer 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.

  • Offered by 12% of firms

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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.

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Types of Clients

Vestpointe Wealth Management, LLC provides services to retail investors, high net worth investors and pension plans. Out of its 318 customers, Vestpointe Wealth Management, LLC's biggest client type is retail investors, but it also manages money for 17 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 in AUM or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 25.76%
  • Other Individuals - 72.73%
  • Corporations - 1.52%
  • 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

Vestpointe Wealth Management, LLC 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