Joseph Stapleton
Joseph Stapleton is a registered investment advisor at Spinnaker Investment Group, LLC, based in Newport Beach, CA, with 17 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Financial Planning & Coaching, Investment Management, and 2 more. Their firm serves 1,025 clients with $1.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.00% |
| $1.0M - $3.0M | 0.85% |
| $3.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.60% |
| $10.0M - $20.0M | 0.50% |
| $20.0M - $50.0M | 0.40% |
| $50M+ | 0.30% |
Accounts may be under different fee schedules reflecting prior agreements, which may be higher or lower than the above fee schedule. Additionally, Spinnaker Investment Group may negotiate a fee rate that differs from the schedule set forth above, which may be higher or lower, for clients with simpler or more complex financial circumstances and for asset management with respect to certain client holdings (e.g., held-away assets, accommodation accounts, alternative investments, etc.).
Fee Estimator
Location
4100 Macarthur Blvd., Suite 120, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Joseph is the President of Spinnaker Investment Group, LLC and Spinnaker Tax Group, dedicating most of his time to this role. He also serves as a City Councilman for Newport Beach, spending about 10-20% of his time on these duties.
Employment History
Current Registrations
Spinnaker Investment Group, LLC
Previous Registrations
Dmk Advisor Group, INC.Broker
MML Investors Services, LLCBroker
Signature Resources Capital Management, LLC
Signator Investors, INC.
Signator Investors, INC.Broker
State Registrations1 state
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.