STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
STOKER OSTLER WEALTH ADVISORS, INC. Legal Name
Adviser information for STOKER OSTLER, A PART OF BMO FINANCIAL GROUP last updated from Form ADV on March 29th, 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 | Arizona, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,042 | $2.5B |
| Non-Discretionary | 183 | $83.3M |
| Total | 4,225 | $2.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 628 | $328.7M |
| HNW Individuals | 664 | $2.2B |
| 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 | 0 | $0 |
| Charitable organizations | 7 | $10.4M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
4900 N. SCOTTSDALE ROADSUITE 2600
SCOTTSDALE
AZ
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 480-890-8088, Fax: 480-890-8770
Websites
Chief Compliance Officer
JEFF PRUITT
CHIEF COMPLIANCE OFFICER
4900 N. SCOTTSDALE ROAD
SCOTTSDALE
AZ
United States
Tel:
612-258-2203
Fax:
SUITE 2600
J**********@******M
(Full email address available in API data)
Regulatory Contact
MICHELLE DECKER
MANAGING DIRECTOR, CHIEF OPERATING OFFICER
4900 N. SCOTTSDALE ROAD
SUITE 2600
SCOTTSDALE
AZ
United States
Tel:
480-890-8088
Fax:
480-890-8770
M***************@***************M
(Full email address available in API data)
Industry Affiliates
| BANK OF MONTREAL | Banking or thrift institution |
| BMO ASSET MANAGEMENT CORP. | Other investment adviser, including financial planners |
| BMO BANK | Banking or thrift institutionPension consultant |
| BMO DELAWARE TRUST COMPANY | Trust company |
| BMO DIRECT INVEST INC. | Other investment adviser, including financial planners |
| BMO FAMILY OFFICE, LLC | Other investment adviser, including financial planners |
| BMO FINANCIAL CORPORATION | Banking or thrift institution |
| BMO NESBITT BURNS SECURITIES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOLAR, MICHAEL, SCOTT | Individual | – | CHIEF INVESTMENT OFFICER AND SENIOR PORTFOLIO MANAGER | 01/2006 | < 5% |
| DECKER, MICHELLE, LEE | Individual | – | MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND BOARD MEMBER | 09/2013 | < 5% |
| HALLS, MICHAEL, CRAIG | Individual | – | SENIOR PORTFOLIO MANAGER | 01/2006 | < 5% |
| BMO FINANCIAL CORP | Domestic Entity | – | SOLE OWNER | 09/2009 | > 75% |
| BANK OF MONTREAL | Foreign Entity | BMO FINANCIAL CORP | SOLE OWNER | 09/1989 | > 75% |
| MILLER, MATTHEW, HAROLD | Individual | – | BOARD MEMBER AND CHAIRMAN | 03/2014 | < 5% |
| CASSINELLI, CHARLES, M | Individual | – | BOARD MEMBER | 12/2016 | < 5% |
| HARRIS, WALLACE, WILLIAM | Individual | – | DIRECTOR AND BOARD MEMBER | 08/2019 | < 5% |
| Lace, George, Patrick | Individual | – | CHIEF FINANCIAL OFFICER | 03/2022 | < 5% |
| PRUITT, JEFFREY, PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2023 | < 5% |