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Spelman & Co., Inc. (Phoenix)


Spelman & Co., Inc. is a large advisory firm based in Phoenix. It manages $110.92 million of regulatory assets for 1,531 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, Colorado, and 25 other states.

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Spelman & Co. provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, pension consulting services, and security ratings or pricing services. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Spelman & Co.: assets under management

The assets under management (AUM) of Spelman & Co., Inc. is $110.92 million. The firm's AUM has grown by 129% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $5.55 million in discretionary accounts and $105.38 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $41.7 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $75.38 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Spelman & Co., Inc. for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Spelman & Co., Inc.

Gary Walden Krat has been acting as President since 1 Apr 1998. Susanne Marie Denby joined the executive team most recently as the Vice President, Chief Compliance Officer.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Richard Paul Woltman Chairman of the board/ceo, director 1 Jul 1987 Other 600264
Kaye Alycia Woltman Vice chairman, director 1 Feb 1989 Other 328175
Scott Allen Heising Fnop/cfo, sec 1 Oct 1997 Other 2192259
Gary Walden Krat Director 1 Apr 1998 Other xxx-xx-xxxx
Steven Elliot Rothstein Director 1 Apr 1998 Other 1292456
Inc. Sunamerica Financial Network Owner 1 May 2000 75% - 100% 86-0623864
Inc. Aig Advisor Group Owner 1 May 2000 75% - 100% 86-0623864
Constance Miller Cook Mp 1 Jul 2000 Other 1448191
James Richard Cannon President 1 Sep 2000 Other 1755987
Melisa Reasner Mcguire Executive vice president 1 Sep 2000 Other 1743752
Fred Liew Morrison Vice president 1 Sep 2000 Other 1155713
Kevin John Hart Director 1 Jan 2001 Other 1605701
Dennis Arnold Stubblefield Director of compliance, cco 1 Feb 2001 Other 4294084
Frank Alexander Rose Asst. vp srop/crop 1 Mar 2001 Other 2855223
Lisa Sue Kubica Vp, srop, mp 1 Nov 2001 Other 1098488
Jon David Bleyer Crop 1 Nov 2001 Other 3131217
Seth Howard Schwartz Chief compliance director, cco 1 Mar 2002 Other 2366063
Steven Elliot Rothstein Director 1 Jun 2002 Other 1292456
George Joseph Vaerewyck Executive vp, cio 1 Jun 2002 Other 1318884
David Allen Fischer Sr vp, recruiting 1 Jun 2002 Other 1634222
Jeffrey Joseph Peters Sr vp, organizational development & communications 1 Jun 2002 Other 3184004
Ralph Owen Jr Stauffer Vp 1 Jun 2002 Other 3255670
Michelle Marie Thetford Vp 1 Jun 2002 Other 2397727
Bridget Mary Gaughan Director 1 Jun 2002 Other 2691949
Mary L Cavanaugh Director 1 Jun 2002 Other 1977110
Kim A Richardson Vice president 1 Jun 2002 Other 2206243
Mary Louise Cavanaugh Director 1 Jun 2002 Other 1977110
Christopher Blake Radford Vp 1 Sep 2002 Other 1564302
Inger Wilson Fields Cfo/fnop/treasurer 1 Jan 2003 Other 1690043
Ralph Joel Parker Assistant vice president, insurance 1 Jan 2003 Other 2587496
John Daniel Mcgovern Vice president, cco, crop 1 Feb 2003 Other 1529885
Bridget Mary Gaughan Executive vice president, general counsel 1 May 2003 Other 2691949
Steven Elliot Rothstein Executive vice president, cfo/treasurer 1 May 2003 Other 1292456
Susanne Marie Denby Vice president, director of compliance 1 May 2003 Other 2617514
Rita Lynn Sonchik Vice president, accounting 1 May 2003 Other 1865389
Kenneth Paul Dorfman Crop 1 Jan 2004 Other 2460380
Michael Ronald Mcreynolds Assistant vice president, insurance 1 Feb 2004 Other 816602
Sally Hanson Bourdamis Vice president, brokerage services 1 Mar 2004 Other 1812157
Jacquelyn Marie Capriotti Vice president, vision 2020 1 Mar 2004 Other 1575021
Susanne Marie Denby Vice president, chief compliance officer 1 Nov 2004 Other 2617514
Bruce Todd Freeman Associate vice president, municipal principal 1 Nov 2004 Other 2451499

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Sunamerica Investments Shareholder 1 Sep 1990 75% - 100% 52-1128427
Sunamerica Inc. Shareholder 1 Jan 1999 75% - 100% 95-4715639
Inc. American International Group Shareholder 1 Jan 1999 75% - 100% 13-2592361
Aig Sunamerica Inc. Shareholder 1 Jan 1999 75% - 100% 95-4715639
Inc. Aig Retirement Services Shareholder 1 Jan 1999 25% - 50% 95-4715639
Inc. Aig Retirement Services Shareholder 1 Jan 2004 75% - 100% 95-4715639
Sunamerica Life Insurance Co. Shareholder 1 Jan 2004 50% - 75% 52-0502540

Based in Phoenix

The principal office where Spelman & Co., Inc. performs its advisory services is located at 2800 N Central Ave, Phoenix, AZ 85004, which is also the mailing address of the firm. An additional office of the firm is in Marietta, GA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 602 744 3000 or by fax 602 744 3225. The normal business hours are 7:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at www.sentraspelman.com.


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