S
Stapleton Financial Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$15,800,000
Clients
66
9% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
66
HighAverage account size
$239,394
About
Stapleton Financial Group provides discretionary investment management and written financial planning primarily to individual clients, including high-net-worth individuals, and reports about $9.9 million in discretionary assets across roughly 48 client accounts. While the firm’s ADV lists individuals and high-net-worth individuals as its main client types, it also reports serving corporate or business clients, a service that is less common among solo independent RIAs.
The firm customizes portfolio allocations to match each client’s investment objectives and risk tolerance, using instruments such as individual stocks, bonds, exchange-traded funds and mutual funds and conducting periodic reviews and rebalancing. It may recommend third-party managers for portions of a portfolio and describes coordinating with clients’ attorneys and accountants as part of implementing solutions.
Compared with many peers, Stapleton Financial Group is a small, single-advisor practice managing modest institutional-scale assets and a limited client roster, which can affect the level of direct access and hands-on oversight. The managing member brings a long securities-industry background with multiple FINRA qualifications and a Chartered Leadership Fellow designation, and the firm operates with written compliance policies, a code of ethics and routine supervisory and account-review processes.
Client services
Financial planning
Portfolio management
Fee options
Fixed fee basis available for financial planning services with retainer and installment payments
1.20% annually
$250 per hour for financial planning services
Main office location
Stapleton Financial Group
1511 14 Th Street West
Billings MT 59102, United States
Number of offices
1
Most active in
Stapleton Financial Group has reported serving >5 clients in these states in the last 12 months.
Montana
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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
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