SEC-registered wealth management firm Broker-dealer affiliated
Stoker Ostler, A Part of BMO Financial Group
As of its Form ADV filed July 16, 2026, Stoker Ostler, A Part of BMO Financial Group, an SEC-registered, broker-dealer affiliated wealth management firm in Scottsdale, Arizona, reported $3.7 billion in regulatory assets under management across 5,166 accounts, ranking #8 among all wealth firms in Arizona by assets.
Registration
- Main office
- Scottsdale, AZ
- Registration
- SEC-registered, Approved
- CRD number
- 111320
- SEC file number
- 801-54265
- Registered since
- April 14, 1997
- Latest Form ADV filing
- July 16, 2026
- Legal name
- STOKER OSTLER WEALTH ADVISORS, INC.
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $3.7 billion
- Discretionary
- $3.6 billion (96.8%)
- Non-discretionary
- $115.9 million
- Accounts
- 5,166 (4,904 discretionary)
- Clients
- 1,585, approximate as reported
- Employees
- 30
- Advisory staff
- 12 performing investment advisory functions
- Average account
- $710,368
- Asset growth, 1 year
- 18.4% (from $3.1 billion a year earlier)
- Asset growth, 3-year annual rate
- 19.2% (from $2.2 billion three years earlier)
- Asset growth, 5-year annual rate
- 16.4% (from $1.7 billion five years earlier)
- Client growth, 1 year
- 9.5% (from 1,447)
Broker-dealer affiliated. The firm is affiliated with a bank (Item 7.A(8)) that is part of a group with a broker-dealer (Item 7.A(1)) or controlled by a public company (Schedule D, Item 10.A). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $628.4 million |
| October 3, 2011 | $697.9 million |
| October 1, 2012 | $657.1 million |
| October 1, 2013 | $719.1 million |
| October 1, 2014 | $884.4 million |
| October 1, 2015 | $1.0 billion |
| October 3, 2016 | $1.1 billion |
| October 2, 2017 | $1.1 billion |
| October 1, 2018 | $1.3 billion |
| October 1, 2019 | $1.3 billion |
| October 1, 2020 | $1.5 billion |
| October 4, 2021 | $1.7 billion |
| October 3, 2022 | $2.2 billion |
| October 5, 2023 | $2.2 billion |
| October 1, 2024 | $2.6 billion |
| September 2, 2025 | $3.1 billion |
| October 2, 2026 | $3.7 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 945 clients | $3.3 billion | |
| Individuals (other than high net worth) 634 clients | $344.9 million | |
| Charitable organizations 6 clients | $12.3 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Educational seminars or workshops
Financial planning clients (Item 5.H): 1000.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Swap dealer
- Major security-based swap participant
- Commodity pool operator or commodity trading advisor
- Futures commission merchant
- Banking or thrift institution
- Trust company
- Insurance company or agency
- Pension consultant
- Real estate broker, dealer or agent
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $780.8 million in total.
Investment adviser representatives
- IARs registered with the firm
- 14
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 11
Designations held by the firm's IARs: CFP 11, CFA 5, PFS 1.
1 of the firm's 14 IARs is registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 2 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arizona
| Firm | City | RAUM |
|---|---|---|
| Tfo Family Office Partners | Phoenix | $5.0 billion |
| PFG Advisors | Phoenix | $3.3 billion |
| Trek Financial | Scottsdale | $2.8 billion |
| Trajan Wealth, L.L.C. | Scottsdale | $2.6 billion |
| Xcelsior Advisor Partners LLC | Scottsdale | $2.5 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Stoker Ostler, A Part of BMO Financial Group on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.stokerostler.com
- Wealth management firms in Arizona
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.