Stapleton Asset Management, LLC

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Client assets under management

$31,065,073

Clients

79% high-net-worth

Advisors

of 3 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

Very Low

Average account size

$941,366

About

Stapleton Asset Management is a state-registered investment adviser that serves a concentrated client base of roughly 33 accounts, including high-net-worth individuals, accredited investors, and select institutional and charitable clients. The firm provides discretionary portfolio management alongside financial planning and consulting services offered as either one-time engagements or an ongoing subscription-style program.

Investment decisions combine quantitative optimization and risk/return modeling with fundamental and cyclical analysis, implemented through model portfolios that blend active and passive funds. For appropriate clients, the firm may use derivatives (options, futures) and alternative investments—including private placements and non-public REITs—to manage risk or achieve targeted exposures, and it occasionally engages unaffiliated sub‑advisers for specialized mandates.

Compared with many small advisory firms, Stapleton maintains a relatively high advisor credential mix (CFA, CFP, FRM) and emphasizes systematic portfolio construction and tax-aware fund selection. The firm also discloses a staff outside consulting activity focused on the defined-contribution/401(k) marketplace and describes internal supervision and limits to mitigate related conflicts, and it operates exclusively with a single institutional custodian with which it receives certain institutional services.

Client services

Financial planning Portfolio management Selection of other advisers

Expertise

Concentrated stock management Tax-loss harvesting Retirement withdrawal strategies Business ownership considerations College savings (529s, UTMA, etc.)

Occupation focus

Founder/Business Owner Executive

Fee options

Percentage

$0 - $500,000: 1.25% $500,001 - $2,000,000: 1.00% $2,000,001 - $5,000,000: 0.75% $5,000,001 - $10,000,000: 0.50% $10,000,001+: 0.35%

Project-based

$250-$500 per hour depending on case complexity

Subscriptions

Fixed monthly fee for ongoing comprehensive financial planning service

Other

Fee-only: Financial Planning hourly fee of $250-$500 per hour depending on complexity

Main office location

Stapleton Asset Management, LLC

Franklin TN, United States

Number of offices

Most active in

Illinois · Minnesota · Tennessee

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Facebook Website 615-266-4233

Advisors at this firm

Joshua G

CFA®, Series 63

Delano, MN

Stapleton Asset Management, LLC

Joshua Grass is a CFA® charterholder with three years of industry experience. He currently works at Stapleton Asset Management, LLC and has prior experience with Allianz Life Financial Services, Allianz Life Insurance Company of North America, and Securian Financial. Mr. Grass is also the President of AsteraWealth LLC, where he provides consulting services related to the defined contribution market. Stapleton Asset Management offers integrated wealth management to high-net-worth individuals and a select group of institutional clients. The firm employs a combination of active and passive investment strategies, quantitative and qualitative research, and may utilize alternative investments and sub-advisors to tailor portfolios.

Concentrated stock management Tax-loss harvesting Retirement withdrawal strategies Business ownership considerations College savings (529s, UTMA, etc.) Founder/Business Owner Executive

Craig S

CFP®, CFA®

Franklin, TN

Stapleton Asset Management, LLC

Craig Stapleton Corcoran is a CFP® and CFA® with two years of industry experience. He is currently with Stapleton Asset Management, LLC, where he has worked since 2022. Prior to this, he spent ten years at Securian Asset Management from 2012 to 2022. Stapleton Asset Management provides integrated wealth management services to high-net-worth individuals and a select group of institutional clients, including pension plans, endowments, and charitable organizations. The firm constructs customized portfolios using a combination of active and passive funds, individual securities, and derivatives, supported by quantitative and qualitative research methods.

Concentrated stock management Tax-loss harvesting Retirement withdrawal strategies Business ownership considerations College savings (529s, UTMA, etc.) Founder/Business Owner Executive

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