{
  "crd_number": 111320,
  "slug": "stoker-ostler-a-part-of-bmo-financial-group-scottsdale-az-111320",
  "primary_business_name": "STOKER OSTLER, A PART OF BMO FINANCIAL GROUP",
  "legal_name": "STOKER OSTLER WEALTH ADVISORS, INC.",
  "dbas": [
    "STOKER OSTLER",
    "STOKER OSTLER WEALTH ADVISORS",
    "STOKER OSTLER, A PART OF BMO FINANCIAL GROUP"
  ],
  "city": "Scottsdale",
  "state": "AZ",
  "country": "United States",
  "cbsa_code": "38060",
  "metro": {
    "cbsa_code": "38060",
    "common_name": "Phoenix",
    "msa_name": "Phoenix-Mesa-Chandler, AZ",
    "path": "/advisors/az/phoenix"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1997-04-14",
  "years_registered": 29,
  "period": "2026-10-01",
  "filing_date": "2026-07-16",
  "carried_forward": false,
  "raum_total": 3669760193.0,
  "raum_discretionary": 3553892357.0,
  "raum_non_discretionary": 115867836.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 30,
  "advisory_employees": 12,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 12272264.0,
      "count": 6
    },
    "individuals": {
      "raum": 344937612.0,
      "count": 634
    },
    "high_net_worth_individuals": {
      "raum": 3312550317.0,
      "count": 945
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AK",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "LA",
    "MA",
    "MD",
    "MI",
    "MN",
    "MO",
    "MT",
    "NC",
    "NE",
    "NH",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "SC",
    "TN",
    "TX",
    "UT",
    "VA",
    "WA",
    "WI",
    "WY"
  ],
  "websites": [
    "https://stokerostler.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111320",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "SCOTTSDALE",
  "url": "https://advisorcensus.com/firm/stoker-ostler-a-part-of-bmo-financial-group-scottsdale-az-111320",
  "display_name": "Stoker Ostler, a Part of BMO Financial Group",
  "summary": "Stoker Ostler, a Part of BMO Financial Group is an SEC-registered investment advisory firm in Scottsdale, AZ, registered since 1997, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 16, 2026.",
  "citation": "AdvisorCensus. Stoker Ostler, a Part of BMO Financial Group (CRD 111320): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Stoker Ostler, a Part of BMO Financial Group compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Stoker Ostler, a Part of BMO Financial Group reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Stoker Ostler, a Part of BMO Financial Group charge?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Up to $3,000,000: 1% a year; $3,000,000 to $5,000,000: 0.85% a year; $5,000,000 to $10,000,000: 0.65% a year; Above $10,000,000: 0.55% a year; Hourly rate: $250 to $500 an hour (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Stoker Ostler, a Part of BMO Financial Group located?",
      "a": "Stoker Ostler, a Part of BMO Financial Group's principal office is in Scottsdale, AZ, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Stoker Ostler, a Part of BMO Financial Group registered with the SEC or a state?",
      "a": "Stoker Ostler, a Part of BMO Financial Group is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 111320."
    },
    {
      "q": "How much does Stoker Ostler, a Part of BMO Financial Group manage?",
      "a": "Stoker Ostler, a Part of BMO Financial Group reports $3,669,760,193 in regulatory assets under management in its Form ADV filing dated July 16, 2026 (97% discretionary)."
    },
    {
      "q": "How have Stoker Ostler, a Part of BMO Financial Group's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Stoker Ostler, a Part of BMO Financial Group: Regulatory assets under management: $1,718,313,531 in the October 2021 data and $3,669,760,193 in the October 2026 data, up 114%. Total employees: 21 in October 2021 and 30 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Stoker Ostler, a Part of BMO Financial Group serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (945); individuals (other than high net worth individuals) (634); charitable organizations (6)."
    },
    {
      "q": "Which custodians does Stoker Ostler, a Part of BMO Financial Group use?",
      "a": "Stoker Ostler, a Part of BMO Financial Group's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Stoker Ostler, a Part of BMO Financial Group report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation) and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111320"
    },
    {
      "q": "Does Stoker Ostler, a Part of BMO Financial Group state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 says: \"Our account minimum is typically $500,000. However, we can choose to reduce the account minimum based on certain criteria.\""
    },
    {
      "q": "What changed in Stoker Ostler, a Part of BMO Financial Group's recent Form ADV filings?",
      "a": "In the May 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1718313531.0,
      "total_employees": 21,
      "filing_date": "2021-09-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 2216801722.0,
      "total_employees": 22,
      "filing_date": "2022-08-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2165479313.0,
      "total_employees": 26,
      "filing_date": "2023-09-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 2556150742.0,
      "total_employees": 26,
      "filing_date": "2024-09-13"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 3100176318.0,
      "total_employees": 27,
      "filing_date": "2025-07-10"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 3669760193.0,
      "total_employees": 30,
      "filing_date": "2026-07-16"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 9 to 12.",
        "Regulatory assets under management went from $3,100,176,318 to $3,669,760,193 (+18%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Registered or notice-filed in PA."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $3,000,000",
        "rate": "1%"
      },
      {
        "band": "$3,000,000 to $5,000,000",
        "rate": "0.85%"
      },
      {
        "band": "$5,000,000 to $10,000,000",
        "rate": "0.65%"
      },
      {
        "band": "Above $10,000,000",
        "rate": "0.55%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$500,000",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $250 to $500 an hour (financial planning and consulting services)"
    ],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $3,000,000: 1% a year",
          "$3,000,000 to $5,000,000: 0.85% a year",
          "$5,000,000 to $10,000,000: 0.65% a year",
          "Above $10,000,000: 0.55% a year"
        ],
        "quotes": [
          "Current fee schedule (billable on total assets under management): 1% on the first $3 million 0.85% on the next $2 million 0.65% on the next $5 million 0.55% on assets above $10 million"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $500,000"
        ],
        "quotes": [
          "Our account minimum is typically $500,000. However, we can choose to reduce the account minimum based on certain criteria."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $250 to $500 an hour (financial planning and consulting services)"
        ],
        "quotes": [
          "Hourly fees will generally range from $250 to $500 per hour plus any expenses incurred."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 3000000.0,
          "rate_pct": 1.0
        },
        {
          "min": 3000000.0,
          "max": 5000000.0,
          "rate_pct": 0.85
        },
        {
          "min": 5000000.0,
          "max": 10000000.0,
          "rate_pct": 0.65
        },
        {
          "min": 10000000.0,
          "max": null,
          "rate_pct": 0.55
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 500000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": null,
          "min": 250.0,
          "max": 500.0,
          "period": "hour",
          "service": "financial planning and consulting services"
        }
      ]
    },
    "quotes": [
      "Current fee schedule (billable on total assets under management): 1% on the first $3 million 0.85% on the next $2 million 0.65% on the next $5 million 0.55% on assets above $10 million",
      "Our account minimum is typically $500,000. However, we can choose to reduce the account minimum based on certain criteria.",
      "Hourly fees will generally range from $250 to $500 per hour plus any expenses incurred."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/stoker-ostler-a-part-of-bmo-financial-group-scottsdale-az-111320.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 634,
      "fewer_than_5": false,
      "raum": 344937612.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 945,
      "fewer_than_5": false,
      "raum": 3312550317.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 6,
      "fewer_than_5": false,
      "raum": 12272264.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111320",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}