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Heydorn Stone Capital Management Review

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Heydorn Stone Capital Management, registered in 2005, serves 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).



Firm Information


Summary Firm
Overall Rating
Minimum Investment $250,000
Average Client Balance $796,730
Total AUM $71.7 million
Fee Range 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.
Advisor / Client Ratio 1:45
Languages Offered English
Specialities Retirement Planning, College Planning, LGBTQ+, Investment Planning and Management
Website Visit Site
Phone Number 914-752-5300
Headquarters Harrison, NY
Locations See locations
SEC Filings View SEC IAPD CRD #125903

Investment Philosophy


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.



Disciplinary Questions


After checking the disciplinary records of Heydorn Stone Capital Management, our system found no disciplinary questions to ask. Checks take place monthly.



Conflict Questions


After checking the regulatory records of Heydorn Stone Capital Management, our system has identified the following question(s) to ask. Learn more.


Which securities does Heydorn Stone Capital Management trade for itself that it will also be recommending to me?


Heydorn Stone Capital Management has marked in their disclosures that they trade recommended securities. While this often can be seen as "eating your own cooking," there are several inherent conflicts that can arise. For example, front running is when a financial professional buys or sell securities ahead of their client. In short, any financial professional should disclose all positions they hold (or have sold short) that they will also be recommending to you.


Our system found no other conflict questions to ask. Checks take place monthly.



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Disciplinary History


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:




Cost


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 and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").


View Fee Disclosures




FAQs





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This automated report was generated using SEC and FINRA data and was last updated on January 4th, 2021*. For data support, email "support@investor.com". Views: 378 (trailing six months). Firms that receive a 4.5 or 5-star rating are considered Trusted by investor.com. Learn more.


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