Scottsdale Wealth Planning, Inc.

Scottsdale Wealth Planning primarily serves individual and high‑net‑worth clients, offering discretionary investment management, financial planning, and retirement‑account advice. The firm manages approximately $171.5 million for about 79 clients and typically charges percentage‑of‑assets‑under‑management fees.

The firm’s investment process emphasizes fundamental analysis and a largely long‑term orientation, building diversified portfolios from individual stocks and bonds, mutual funds, and ETFs and, where appropriate, employing options, REITs, MLPs, private funds, and other specialized instruments; it may retain legacy holdings for tax or portfolio‑fit reasons. Scottsdale Wealth Planning implements strategies on a discretionary basis and uses third‑party platforms and institutional custodian relationships to access sub‑advisers, trading, and reporting services.

Noteworthy distinctions include that the firm’s principal is also a licensed insurance producer and implements insurance recommendations for commissions separate from advisory fees, which can create a potential conflict of interest (clients are not required to follow those recommendations). The firm and its principal were previously subject to a CFTC cease‑and‑desist order related to communications about a pooled commodities vehicle (including restitution of $338,000, a $169,000 civil monetary penalty, and a four‑year restriction on certain commodities activities); the firm also requires its representatives to utilize an Amplify platform that can involve additional platform and sub‑adviser fees.