Weatherstone Capital Management, Inc. (Northglenn)

Name: Weatherstone Capital Management, Inc.
Address: 11152 Huron Street, Northglenn, CO, 80234
Telephone: 303-452-4374

Weatherstone Capital Management, Inc. is a large advisory firm based in Northglenn. It manages $384.86 million of regulatory assets for 2,064 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Arizona, Arkansas, California, and 34 other states.

Weatherstone Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and sub-advisory services. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Weatherstone Capital Management: assets under management

The assets under management (AUM) of Weatherstone Capital Management, Inc. is $384.86 million. The firm's AUM has gone down by -65% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $384.01 million in discretionary accounts and $841.36 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $187.97 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $40.06 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 49% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 26% of the firm’s portfolio. Investments in investment and business development companies form 16% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Weatherstone Capital Management, Inc. for their services and products based on a percentage of assets under management, hourly charges, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Gary Ball serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Michael Gary Ball is individuals with 1,322 clients and $299.03 million of assets under management. Among the 10 most similar advisory firms, Weatherstone Capital Management has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $384.86 million for 1,363 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Weatherstone Capital Management doesn't advise any private funds.

Careers at Weatherstone Capital Management, Inc.

The company employs 11 people that are either part- or full-time employees. 27 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There are 26 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael Gary Ball has been acting as President since 1 Jul 2001. Ann Terese Zemann joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Gary Ball	President	1 Jul 2001	75% - 100%	1915309
Ann Terese Zemann	Chief compliance officer	1 Feb 2010	Other	2731611

Based in Northglenn

The principal office where Weatherstone Capital Management, Inc. performs its advisory services is located at 11152 Huron Street, Northglenn, CO 80234, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-452-4374 or by fax 303-452-4377. The normal business hours are 7:30 to 5:00 on Monday - Friday. You can find more information about the New York firm at weatherstonecm.com.