July 4th, 2020
Heydorn Stone Capital Management, registered in 2005, is a Registered Investment Advisor (RIA) in 6 state(s) with a licensed staff of 2 advisors. Heydorn Stone Capital Management manages $71.7 million and provides investment advisory services for 90 clients (1:45 advisor/client ratio).
As a financial advisory firm, also known as a Registered Investment Advisor (RIA), Heydorn Stone Capital Management can provide a variety of financial planning services for Americans. The goal of a financial advisor is to review your personal finances and work with you to achieve your life goals, e.g., saving for retirement, by creating a comprehensive financial plan. Financial advisors focus primarily on money management, including investments like stocks, ETFs, and mutual funds.
Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance.
|Advisors Directory||View Directory|
|Avg Advisor Years Registered||20|
|Average Client Balance||$796,730|
|Total AUM||$71.7 million|
|Advisor / Client Ratio||1:45|
|Specialities||Retirement Planning, College Planning, LGBTQ+, Investment Planning and Management|
|SEC Filings||View SEC IAPD CRD #125903|
An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.
As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for Heydorn Stone Capital Management:
|Activity Restriction – SRO||No|
|Attorney/Accountant Authorization Revocation – SRO||No|
|Business License Revocation – SRO||No|
|Business License Revocation - SEC/CFTC||No|
|Business License Revocation - Other Regulatory Agencies||No|
|Dismissal upon Settlement – Court||No|
|False Statements or Omissions – SRO||No|
|False Statements or Omissions - Other Regulatory Agencies||No|
|False Statements or Omissions - SEC/CFTC||No|
|Monetary Penalty - SEC/CFTC||No|
|Order Entered - SEC/CFTC||No|
|Order Entered - Other Regulatory Agencies||No|
|Regulation Violations - SEC/CFTC||No|
|Regulation Violations - Other Regulatory Agencies||No|
|Regulation Violations – SRO||No|
Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.
Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown. Reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation") is another option, albeit more time-intensive and nuanced (trust us, we have read thousands).
Our standard fee schedule is: 1.00% per year on the first $1 million, 0.75% per year on the next $2 million, 0.50% per year on the next $2 million, and 0.25% per year on the balance, with a minimum quarterly fee of $625.
|Insurance Agent Conflict - Affiliation||No|
|Insurance Agent Conflict - Firm||No|
|Private Investment Management||No|
|Trades Recommended Securities||Yes|
We are fiduciary investment advisors who use a financial planner’s approach to investing your money. Your financial plan will drive our investment decisions. That means, before a dollar of your money is invested, we first need to understand your full financial story and ambitions – from there everything else falls into place.
Heydorn Stone Capital Management is headquartered in Harrison, NY. Heydorn Stone Capital Management offers financial advisor services in 6 states: California, Massachusetts, New Jersey, New York, Ohio, Texas.
While Heydorn Stone Capital Management advises clients across a variety of portfolio sizes, the average client balance is currently $796,730. In total, Heydorn Stone Capital Management manages $71,705,779 in assets.
Fun Fact: No regulator currently tracks portfolio performance metrics for the financial planning industry. Remember, the financial plan your financial advisor creates with you will always be unique to your personal financial situation. That's the value of working with a financial advisor.
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This automated report was generated using SEC and FINRA data and was last updated on July 4th, 2020*. For data support, email "firstname.lastname@example.org". Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.