Stapleton Asset Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$31,065,073
Total clients
33
79% high-net worth
Total advisors
2
of 3 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
17
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
Expertise
Occupation focus
Fee options
$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%
$250-$500 per hour depending on case complexity
Fixed monthly fee for ongoing comprehensive financial planning service
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
2
Most active in
Illinois · Minnesota · Tennessee
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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
Quick links
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