STOLZ & ASSOCIATES, PS
Adviser information for STOLZ & ASSOCIATES, PS last updated from Form ADV on February 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 404 | $180.8M |
| Non-Discretionary | 70 | $18.6M |
| Total | 474 | $199.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 116 | $53.1M |
| HNW Individuals | 49 | $139.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 6 | $7.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $20,068 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 728,916 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BETTERMENT WRAP FEE PROGRAM | BETTERMENT |
Identifiers
| SEC RIA File Number | 801-117720 |
|---|---|
| SEC ERA File Number | 801-117720 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 117216 |
| Legal Entity Identifier | None |
Principal Office
3102 RUSTON WAYSUITE A
TACOMA
WA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (253) 272-3441, Fax: None
Chief Compliance Officer
MICHELLE T. ROBINSON
VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
3102 RUSTON WAY
SUITE A
TACOMA
WA
United States
Tel:
(253) 272-3441
M*******@*************M
(Full email address available in API data)
Regulatory Contact
ANDREW C. STOLZ
PRESIDENT AND CHIEF INVESTMENT OFFICER
3102 RUSTON WAY
SUITE A
TACOMA
WA
United States
Tel:
(253) 272-3441
A***@*************M
(Full email address available in API data)
Industry Affiliates
| STOLZ & ASSOCIATES, PS | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STOLZ, DAVID, ARTHUR | Individual | – | VICE PRESIDENT | 12/2021 | 50-75% |
| ROBINSON, MICHELLE, TERESA | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 10/2007 | 10-25% |
| STOLZ, ANDREW, CHRISTOPHER | Individual | – | PRESIDENT AND CHIEF INVESTMENT OFFICER | 12/2021 | 10-25% |