S
Stu Hawver, CFA, MBA, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$25,710,861
Total clients
20
55% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
20
Average account size
$1,285,543
About
The firm provides discretionary investment management and integrated financial planning to individual clients and trusts, using mutual funds and exchange‑traded funds as the primary investment vehicles. The firm does not advise on individual stocks, bonds, or options, and financial planning is offered as part of its portfolio management service.
Investment decisions are guided by Modern Portfolio Theory: the firm offers a set of model risk/return portfolios, uses Monte Carlo simulations to assess cash‑flow objectives and identify the lowest‑risk portfolio expected to meet client goals, and documents the chosen allocation in an Investment Policy Statement with periodic rebalancing. The firm emphasizes low‑cost, tax‑efficient index funds and ETFs (including fundamental-weighted indexes where available) and manages accounts on a discretionary basis.
Uncommonly for its peer group, the firm offers performance‑based fee arrangements to qualifying clients while also managing asset‑based accounts, and it discloses policies intended to mitigate side‑by‑side conflicts (for example, limits on the profit subject to performance fees, use of Investment Policy Statements, and rebalancing discipline). The firm’s principal holds the CFA designation and adheres to the CFA Institute and Asset Manager codes of conduct, and the brochure highlights explicit conflict disclosures and formal documentation as part of its governance.
Client services
Financial planning
Portfolio management
Expertise
Passive / index investing
Tax-loss harvesting
Wealth management
Fee options
$0 - $500,000: 0.90% $500,000 - $1,000,000: 0.80% $1,000,000 - $2,000,000: 0.70% $2,000,000+: 0.40%
Tiered performance fees on profits: 9% for $0-$500k; 8% for $500k-$1M; 7% for $1M-$2M; 4% over $2M; no fee on negative returns; performance fee capped at 30% ROI
Account minimum: $1,000,000 Minimum fee: Minimum fee based on $100,000 minimum assets under management Fee-only: Asset-based fees and performance-based fees; no commissions or sales charges accepted
Main office location
Stu Hawver, CFA, MBA, LLC
Mocksville NC, United States
Number of offices
2
Most active in
Stu Hawver, CFA, MBA, LLC has reported serving >5 clients in these states in the last 12 months.
Montana · New Hampshire · North Carolina
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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