Eaton-Cambridge provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, publishing newsletters, educational seminars, education planning, estate planning, and insurance. Financial planning was provided to 251–500 clients last fiscal year.
Eaton-Cambridge reports 311 clients. They include 143 high-net-worth individuals, 142 individual clients, and 19 corporations and other businesses. Of its assets, 100.0% ($481M across 1,075 accounts) are managed with discretion. A wrap fee program the firm both sponsors and manages holds $1.89M.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 46% | 11% |
| High-net-worth individuals | 46% | 82% |
| Pension and profit-sharing plans | <1% | 4% |
| Charitable organizations | 2% | 2% |
| Corporations and other businesses | 6% | 2% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 142 | $51M | 10.6% | $359K |
| High-net-worth individuals | 143 | $392M | 81.6% | $2.74M |
| Pension and profit-sharing plans | Fewer than 5 | $18.4M | 3.8% | $9.18M |
| Charitable organizations | 5 | $7.36M | 1.5% | $1.47M |
| Corporations and other businesses | 19 | $11.6M | 2.4% | $610K |
| Total | 311 | $481M | 100% | — |
- Clients
- 142
- Regulatory AUM
- $51M
- AUM share
- 10.6%
- Avg. per client
- $359K
- Clients
- 143
- Regulatory AUM
- $392M
- AUM share
- 81.6%
- Avg. per client
- $2.74M
- Clients
- Fewer than 5
- Regulatory AUM
- $18.4M
- AUM share
- 3.8%
- Avg. per client
- $9.18M
- Clients
- 5
- Regulatory AUM
- $7.36M
- AUM share
- 1.5%
- Avg. per client
- $1.47M
- Clients
- 19
- Regulatory AUM
- $11.6M
- AUM share
- 2.4%
- Avg. per client
- $610K
Total
- Clients
- 311
- Regulatory AUM
- $481M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Eaton-Cambridge charges 0.50%–1.50% a year for its Investment Advisory Services. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable, has a $5,000 annual minimum and requires an account of at least $500,000. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$500K | 1.50% |
| $500K–$1M | 1.00% |
| $1M–$4M | 0.70% |
| $4M and above | 0.50% |
Fee details and sources
Other fees
- Financial Planning and Consulting
- Financial planning fees are a maximum of $2,500 to $10,000, due in full on execution of the agreement, with services completed within six months.
Marc Giannone owns 50% to 75% of Eaton-Cambridge. The leadership team of Eaton-Cambridge includes Chief Compliance Officer Marc Giannone. It has 11 employees, 4 of them in advisory roles.
Leadership
- Marc GiannonePartner and Chief Compliance Officer
- Nathan BergstromPartner
- Robert KorljanPartner
- Shawna StapletonTax Partner
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
Staff
- 11 employees
- 4 in advisory functions
- 4 state-registered reps
- 1 insurance agent
- 1 soliciting firm
- Owns 50% to 75% of Eaton-Cambridge Inc.
Marc Giannone
Control person · since January 2015
- Owns 10% to 25% of Eaton-Cambridge Inc.
Robert Korljan
Control person · since October 1999
- Owns 10% to 25% of Eaton-Cambridge Inc.
Shawna Stapleton
Control person · since January 2023
Eaton-Cambridge’s regulatory assets grew 3.6× from $132M (May 2021) to $481M (June 2026); clients rose from 182 to 311 and employees from 4 to 11.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| June 2026 | $481M | 311 | 11 | 1 |
| March 2025 | $392M | 298 | 10 | 1 |
| May 2024 | $320M | 267 | 10 | 1 |
| August 2023 | $190M | 231 | 10 | 1 |
| May 2022 | $191M | 220 | 5 | 1 |
| May 2021 | $132M | 182 | 4 | 1 |
Besides its headquarters, Eaton-Cambridge has 0 offices, with 1 listed address in Arizona.
Arizona · 1 listed address
- 5090 N. 40th Street Suite 205, PhoenixHQ
Contact and registration details
- Legal name
- Eaton-Cambridge Inc.
- Headquarters
- 5090 N. 40th Street Suite 205, Phoenix, AZ 85018
- Website
- eatoncambridge.com
- Phone
- 480-385-7399
- @eaton-cambridge-inc-
- SEC file
- 801-116885
- Founded
- 1998
- Structure
- Arizona corporation
- Fiscal year end
- December
Eaton-Cambridge uses Charles Schwab ($473M) as custodian for its separately managed accounts. Eaton-Cambridge has custody of $181M in client assets for 153 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $473M100%
At year end, Eaton-Cambridge’s separately managed accounts were mostly in stocks (69%) and funds (21%). Its reported 13F holdings for the quarter ended 30 June 2026 total $356M across 70 positions; the largest are Dimensional ETF Trust (32.5%), Dimensional ETF Trust (13.7%) and Vanguard Scottsdale Fds (12.3%).
What the accounts hold
- Stocks69%
- Funds21%
- Bonds4%
- U.S. government and agency bonds2%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash6%
Reported 13F holdings
- $356M
- Reported 13F value
- 70
- Positions
- 88.3%
- In the 10 largest
- +11.3%
- Value vs. prior quarter
- Dimensional ETF Trust · US Cor Equ 2 ETF32.5%
- Dimensional ETF Trust · Intl Core Equity13.7%
- Vanguard Scottsdale Fds · Shrt Trm Corp. BD12.3%
- Vanguard BD Index Fds · Total Bnd Mrkt9.1%
- Dimensional ETF Trust · Emerging Mkts CO7.3%
- Dimensional ETF Trust · Intl Cor Fix ETF5.6%
- Vanguard BD Index Fds · Short Trm Bond3.6%
- American Centy ETF TR · US EQT ETF1.7%
- Nvidia Corporation1.3%
- Apple Inc.1.2%
Together, the ten largest are 88.3% of reported value.
How many clients does Eaton-Cambridge have?
Eaton-Cambridge has 311 clients and manages $481 million for them, as of June 2026. They include 143 high-net-worth individuals, 142 individual clients, and 19 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 12 June 2026
What services does Eaton-Cambridge offer?
Eaton-Cambridge provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, publishing newsletters, educational seminars, education planning, estate planning, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Eaton-Cambridge charge?
Eaton-Cambridge charges 0.50%–1.50% a year for its Investment Advisory Services. Each asset band is charged at its own rate. The fee is billed in advance, is negotiable, has a $5,000 annual minimum and requires an account of at least $500,000.
Source: EATON-CAMBRIDGE DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS, filed 6 March 2026
Which custodians does Eaton-Cambridge use?
Eaton-Cambridge’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $473M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 June 2026
How many financial advisors does Eaton-Cambridge have?
Eaton-Cambridge has 4 investment adviser representatives registered with state securities authorities, out of 11 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Eaton-Cambridge invest in?
At the end of its last fiscal year, Eaton-Cambridge’s separately managed accounts held 69% exchange-traded equities, 21% registered funds (mutual funds, ETFs, BDCs), 6% cash and equivalents, 2% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Eaton-Cambridge have a minimum investment?
Yes, Eaton-Cambridge’s minimum account size for its Investment Advisory Services is $500K. It charges a $5K annual minimum fee.
Source: EATON-CAMBRIDGE DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS, filed 6 March 2026
Who owns Eaton-Cambridge?
Eaton-Cambridge’s direct owners are Robert Korljan (10% to 25%), Marc Giannone (50% to 75%) and Shawna Stapleton (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 12 June 2026
How does Eaton-Cambridge get paid?
Eaton-Cambridge is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Eaton-Cambridge?
Eaton-Cambridge’s main office is at 5090 N. 40th Street Suite 205, Phoenix, AZ 85018. Its phone number is 480-385-7399. Its website is eatoncambridge.com.