Vault Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides ongoing discretionary portfolio management and fee-based financial planning for individuals, high-net-worth individuals, defined contribution/defined benefit plans, and business entities. It reports managing roughly $36.7 million in client assets across 38 client relationships and prepares an individualized Investment Policy Statement for each client.
The adviser uses both fundamental and technical analysis and implements long-term and short-term trading alongside a range of options strategies, including covered calls, married puts, and spreads. Accounts are reviewed at least quarterly, the adviser may block trades across client accounts, and discretionary authority is requested to execute transactions without prior client approval for each trade.
The firm's principal is also a licensed insurance agent and may offer commissionable insurance products to clients; this dual role is disclosed as a potential conflict of interest and clients are not required to purchase insurance through the firm. For a solo independent adviser, the combination of a relatively concentrated asset base per client and active options trading in addition to traditional portfolio management is a distinguishing aspect of the practice.
Client services
Expertise
Fee options
Fixed financial planning fees between $250 and $10,000
1.50% annually
Between $100 and $500 per hour for financial planning
Fee-only: Financial planning fees between $250 and $10,000 fixed fee; hourly fees between $100 and $500
Main office
Scottsdale AZ
Advisors at this office
1
Most active in
Arizona
Also doing business as
9 Advisor · Vault Financial, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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