L. Roy Papp & Associates, LLP

RIASEC RegisteredEst. 1989

Total AUM

$1.6B

Discretionary

$1.4B

84% of AUM

Avg account

$878K

Accounts

1,847

Employees

10

Advisory reps

13

Firm details

Headquarters: Phoenix, Arizona
CRD number: 105130
Registered since: October 1, 1989
Website: www.roypapp.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM
Client types: HNWI82.47%
Individuals7.94%
Charitable Organizations4.12%
Investment Companies2.72%
Pension & Profit Sharing Plans1.94%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional ClientsPension Consulting

Firm profile

FINTRX

Overview

L. Roy Papp & Associates, LLP is an independent registered investment adviser organized as a limited liability partnership and on record since 1989. The firm serves both individual/family and institutional clients and bills primarily as a percentage of assets under management. Its advisory work centers on discretionary portfolio management across several client types — individuals and small businesses, investment companies, and institutional or business portfolios — and it also lists pension consulting among its activities. The firm reports a preference for equity exposure and does not identify itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities60%
US Government Bonds16%
Cash & Cash Equivalents15%
Public Funds/Mutual Funds8%
Investment Grade Corp Bonds1%

Owners & executives

2 of 2

Julie Hein
Partner & Chief Compliance OfficerCRD 2116306
Anne Ross
Partner & Chief Financial OfficerCRD 8278487

Contacts

3 of 11

Rosellen Papp
Partner, Research DirectorCRD 4680179
Anne Haggerty
CCO and Director of OperationsCRD 5702831
Judith Macias
Partner, Portfolio ManagerCRD 6563793

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 70

Active vs passive

$181M in ETFs

Passive

97%

$175M

Active

0%

$5.6M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
STATE STREET(R) SPDR(R) S&P(R) BIOTECH ETF (XBI)	State Street	Passive	Health	$21.2M	134,181	11.76%

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Primary office

Phoenix, AZ

Maricopa

Location

Phoenix, AZ

Headquartered in Phoenix, AZ, anchoring the Phoenix-Mesa, AZ metro in the West.

Metro area: Phoenix-Mesa, AZ
Region: West
County: Maricopa
Address: 2201 E Camelback Rd
Time zone: MT (UTC-7)
Office locations

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