Vestpointe Wealth Management, LLC

CRD#132591
Investment Advisor Firm

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Overview

Vestpointe Wealth Management, LLC is an advisory firm located in Scottsdale, Arizona. Vestpointe Wealth Management, LLC has $71.6 million in assets under management over 318 accounts. The firm has a small group of five employees, all of whom are financial advisors. Vestpointe Wealth Management, LLC does not act as a registered broker-dealer, signifying that it cannot buy and sell securities for its accounts and those of its customers and instead must go through a broker-dealer company to do so. Securities are defined as exchangable fiscal assets such as stocks, options and bonds.

Vestpointe Wealth Management, LLC manages the majority of its accounts in a discretionary manner. Discretionary management is a structure in which buy and sell decisions are made by a portfolio manager without requiring client authorization. The company also manages 24 non-discretionary accounts with a total of $2.0 million in assets. The investment advisory firm oversees an average of $225,226 in assets for each account. Under $100,000 of their financial planning investments were in securities, with under $100,000 invested in non-securities. An average financial advisor at Vestpointe Wealth Management, LLC manages around 64 client accounts, making it about average in terms of personalization.

The company's main office is at 7373 E. Doubletree Ranch Rd., Scottsdale, Arizona 85258. The company is legally permitted to serve investors in the state of Arizona.

Assets Under Management

$71.6 million

Number of Advisors

5

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: 31
Total Number of Accounts

318

National Average: 1,935
Average Account Size

$225.2 thousand

National Average: $1.7 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. Notably, the firm did not provide financial planning services to any of its clients in the previous fiscal year. The company does not sell products or offer services aside from investment advisory services to its investment advisory clients. The firm also has a number of financial industry affiliations, including with an accountant or accounting firm.

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

Financial management fees typically vary depending on which services the firm provides the client. Fees billed by Vestpointe Wealth Management, LLC most likely include the following fee structures: asset-based, hourly, fixed or other. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm. It can withdraw the expenses directly from client accounts.

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.

  • Offered by 39% 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 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.

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    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

The company provides services to retail investors, high net worth investors and pension plans. Out of its 318 accounts, Vestpointe Wealth Management, LLC's largest client group by number of accounts is retail investors, although it also caters to 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 is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the firm's clients are represented by non-U.S. persons.

  • 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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Financial Advisors at Vestpointe Wealth Management, LLC

Joseph Mccabe
Scottsdale, AZ
Michele Mccabe
Scottsdale, AZ

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This content was compiled from the SEC and FINRA