Stuart Spivak
Stuart Spivak is a registered investment advisor at Centaurus Financial, INC., based in Scottsdale, AZ, with 36 years of industry experience. Stuart operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 38,049 clients with $7.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Centaurus Financial's advisors manage client accounts through various programs, charging an annual fee based on the amount invested. Fees are negotiable and can be a flat percentage or tiered, where the rate decreases as the portfolio value increases. Additional charges may include transaction fees, custodial fees, and internal fund fees.
Maximum advisory fees:
- Alpha, Beta, ABJ, Omega, Delta: 2.25%
- AA & VL: 1.50%
- Adviser-Directed: 1.35%
- FlexUMA: 2.25%
Third-Party Money Managers (TPMMs) charge fees ranging from 1.00% to 3.00%.
Location
8753 E. Bell Road, Suite #101, Scottsdale, AZ, 85260
Get directionsHistory
Regulatory History (9)
Customer Dispute
August 2024Customer Dispute
May 2024Customer Dispute
October 2013Customer Dispute
September 2011Customer Dispute
July 2011Customer Dispute
March 2009Customer Dispute
November 2007Customer Dispute
June 2004Customer Dispute
December 2001Other Business ActivitiesSells Insurance
Stuart is a silent partner in LAYR (security window film and home monitoring systems) and Treasure, Inc. (toy company), dedicating minimal time to each. Stuart also operates The Spivak Financial Group, selling fixed insurance, fixed annuities, and employee benefit plans, and offers permanent life insurance through Mutual Trust Life & Lafayette Life Ins. Co., dedicating about a quarter of his time to each. Finally, Stuart owns an online 72(t) SEPP educational class, dedicating a few hours per week.
Employment History
Current Registrations
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Previous Registrations
AXA Advisors, LLCBroker
AXA Advisors, LLC
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Ws Griffith Securities, INC.Broker
Phoenix Equity Planning CorporationBroker
State Registrations43 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.