Witnauer Sloan & Associates LLC

CRD#113765
Investment Advisor Firm

Answer a few questions and
get matched with an advisor.

Find an Advisor

Overview

Witnauer Sloan & Associates LLC operates as an advisory company headquartered in Scottsdale, Arizona. The firm oversees $27.5 million in assets throughout 246 client accounts. The company has a small team of two employees, all of whom are financial advisors. Witnauer Sloan & Associates LLC is not a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its customers' and own accounts and instead must go through a broker-dealer company to do so. Securities are defined as exchangable fiscal investments like options, equities and bonds.

Witnauer Sloan & Associates LLC administers 235 of the company's client assets on a discretionary basis. Discretionary management means that transaction judgments are made by a portfolio manager without needing to seek client permission. The firm also administers 11 non-discretionary accounts totaling $2.2 million in assets. The advisory firm supervises about $111,968 in assets for every account. Under $100,000 of their investments for financial planning services were in securities, with under $100,000 placed in non-securities. The typical advisor at Witnauer Sloan & Associates LLC oversees about 123 client accounts.

The company's central office is at 8777 E Via De Ventura, Scottsdale, Arizona 85258. It is allowed to provide services to customers in the state of Arizona.

Assets Under Management

$27.5 million

Number of Advisors

2

Fee Structure

Asset-based, Hourly, Fixed

Disclosures

No

Office Location

8777 E Via De Ventura
Scottsdale, AZ 85258

Witnauer Sloan & Associates LLC by the Numbers

Total Assets Under Management

$27.5 million

National Average: $3.3 billion
Total Number of Employees

2

National Average: 4,943
Total Number of Accounts

246

National Average: 2,522
Average Account Size

$112.0 thousand

National Average: $1.3 million

Find a dedicated advisor for your needs

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Products and Services

Witnauer Sloan & Associates LLC offers a variety of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services and educational seminars. In the prior fiscal year, Witnauer Sloan & Associates LLC provided financial planning services to 1-10 of its accounts. It is engaged in selling products or offering services aside from investment advisory services to its customers. It also has a number of financial industry affiliations, including with an insurance company or agency.

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

  • Find a firm that offers this service

    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.

  • Offered by 10% of firms

    Educational Seminars/Workshops

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

Back to Overview

Fee Structure

Fees charged by financial advisors vary depending on the type of financial services provided. However, fee types billed by the firm can be comprised of some combination of the following fee structures: asset-based, hourly or fixed. The company does not participate in a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee. The company is able to withdraw the charges 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.

Back to Overview

Types of Clients

The company caters to retail investors and high net worth investors. Out of its 246 accounts, Witnauer Sloan & Associates LLC's biggest client by number of accounts is retail investors, though it also serves 20 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 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 customers reside abroad.

  • High-Net-Worth Individuals* - 15.38%
  • Other Individuals - 84.62%
  • 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.

Find an advisor who will work directly with you

Sometimes a big firm may not be able to give you the one-on-one service that you need. That's where we come in to help match you with great personal financial advisors. Click here to find your advisor matches today.

Back to Overview

Disclosures

Witnauer Sloan & Associates LLC does not have any disclosures.

Please visit its Form ADV for more details.

Back to Overview
Back to Overview

Find a financial advisor near you

If you're interested in working with an advisor closer to you, we can help you find one. Click here to find your advisor matches today.

Back to Overview

This content was compiled from the SEC and FINRA