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Witnauer Sloan & Associates LLC

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Client assets under management

$56,589,271

Clients

102

17% high-net worth

Advisors

2

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

More info

Clients per advisor

51

Typical

Average account size

$554,797

About

Witnauer Sloan & Associates serves individuals, trusts, estates and business entities and manages approximately $56.6 million across about 102 client relationships. The firm offers discretionary and non‑discretionary asset management, written financial planning and occasional public seminars on financial, tax and estate matters.

Its investment process draws on both fundamental and technical analysis and employs a range of strategies including long‑ and short‑term positions, options and margin where appropriate, with adjustments made for special situations such as low‑basis stock, legacy holdings or company stock. Accounts are actively monitored and reviewed at least quarterly, and financial planning engagements result in a written plan; ongoing investment monitoring is provided only when a separate management agreement is in place.

Noteworthy operational features disclosed in the brochure include the firm’s provision of educational seminars to the public and that its representatives may, in a separate capacity, sell insurance products for commissions—an arrangement the firm identifies as a potential conflict of interest. The firm also directs custody to an institutional custodian, uses a documented rotation method for block trade allocations, and does not accept proxy‑voting responsibilities, leaving voting to clients.

Client services

Financial planning Portfolio management Pension consulting Educational seminars or workshops

Expertise

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)

Fee options

Fixed

Financial planning fixed fees generally range from $250 to $10,000

Percentage

Under $100,000 - $100,000: Flat fee of $1,000 annually ($250 quarterly) $100,000 - $1,000,000: 1.00% annually (0.25% quarterly) Over $1,000,000+: 0.80% annually (0.20% quarterly)

Project-based

$250 per hour for financial planning services

Other

Minimum fee: $1,000 annual minimum fee for asset management services Fee-only: Financial planning charged hourly at $250/hour and fixed fees from $250 to $10,000

Main office location

Witnauer Sloan & Associates LLC

8777 E Via De Ventura, Suite 375

Scottsdale AZ 85258, United States

Number of offices

2

Most active in

More info

Arizona

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 602-493-5930

Advisors at this firm

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user avatar

Jeffrey S

CFP®, ChFC®, Series 63, Series 65

Scottsdale, AZ

Witnauer Sloan & Associates LLC

Jeffrey Sloan is a CFP® and ChFC® with 17 years of industry experience. He is a principal at Witnauer Sloan & Associates LLC, where he has worked since 1999. He is also a manager and member of Wealth Strategies, LLC, an Arizona-licensed insurance agency. Witnauer Sloan & Associates serves individuals, trusts, estates, and business entities, managing approximately $56.6 million across about 102 client relationships. The firm offers discretionary and non-discretionary asset management, written financial planning, and public seminars, employing both fundamental and technical analysis with a range of investment strategies.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)
user avatar

Drew P

Series 65

Scottsdale, AZ

Witnauer Sloan & Associates LLC

Drew Peterson is a financial advisor at Witnauer Sloan & Associates LLC in Scottsdale, AZ, holding a Series 65 designation with 15 years of industry experience. He has been with Witnauer Sloan & Associates since 2008. Outside of his advisory role, Peterson is involved in accounting work for Shamrock Foods in Phoenix. Witnauer Sloan & Associates serves individuals, trusts, estates, and business entities, managing approximately $56.6 million across about 102 client relationships. The firm provides discretionary and non-discretionary asset management, written financial planning, and occasional public seminars, employing both fundamental and technical analysis in its investment approach.

Options & derivatives strategies Retirement plans for business owners (SEP, solo 401k)
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