Capwealth Advisors, LLC

CRD#148781
Investment Advisor Firm

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Overview

Capwealth Advisors, LLC is a financial advisory firm based in Franklin, Tennessee. The firm controls $1.2 billion in assets throughout 1,946 customer accounts, placing it among the larger firms in the country by assets under management (AUM). The company has a small team, including 12 financial advisors. Capwealth Advisors, LLC is not a registered broker-dealer, signifying that it cannot buy and sell securities for its own accounts as well as its clients' and instead is required to go through a broker-dealer firm to do so. Securities are defined as exchangable financial assets like equities, bonds and options.

Capwealth Advisors, LLC oversees the majority of its accounts in a discretionary manner. Discretionary management signifies that buy and sell decisions are made by a portfolio manager without requiring the client's approval. The company also has 52 non-discretionary accounts totaling $23.9 million in AUM. The company manages roughly $621,741 in assets for each account. The typical advisor at Capwealth Advisors, LLC administers around 162 client accounts.

The firm's headquarters is located at 4031 Aspen Grove Drive, Franklin, Tennessee 37067. Capwealth Advisors, LLC is registered to serve investors across 26 U.S. states and territories.

Assets Under Management

$1.2 billion

Number of Advisors

12

Disclosures

No

Office Location

4031 Aspen Grove Drive
Franklin, TN 37067

Capwealth Advisors, LLC by the Numbers

Total Assets Under Management

$1.2 billion

National Average: $8.6 billion
Total Number of Employees

18

National Average: 64
Total Number of Accounts

1,946

National Average: 375,227
Average Account Size

$621.7 thousand

National Average: $23.0 thousand
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Products and Services

Services that Capwealth Advisors, LLC offers can include financial planning services and portfolio management for individuals and small businesses. In the past financial year, the firm provided financial planning services to 51-100 of its customers. It does not sell products or offer services apart from investment advice to its investment advisory customers.

Core Advisor Services

  • Offered by 31% 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 46% 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

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Fee Structure

Fees for financial management typically depend on which service is provided. Fee types charged by Capwealth Advisors, LLC likely include any blend of the following fee types: asset-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the firm.

Available

  • Offered by 69% 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 10% 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 21% of firms that offer this fee type

    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.

  • Find one of the 1% 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 26% 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 0% 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 32% 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.

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Types of Clients

It caters to retail investors, high net worth investors and charitable organizations. Out of its 1,946 accounts, Capwealth Advisors, LLC's largest client by number of accounts is retail investors, though it also serves 263 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its customers are from outside of the U.S.

  • High-Net-Worth Individuals* - 30.87%
  • Other Individuals - 67.84%
  • Corporations - 0%
  • Charitable Organizations - 1.29%

* 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

Capwealth Advisors, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Capwealth Advisors, LLC

Michael Vaught
Franklin, TN
Jason Krueger
Franklin, TN
Hillary Stalker
Franklin, TN
Phoebe Venable
Franklin, TN
Michael Yarbrough
Franklin, TN
Jennifer Pagliara
Franklin, TN
Tracy Olive
Franklin, TN
Timothy Murphy
Franklin, TN
Timothy Pagliara
Franklin, TN

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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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