Investor's Capital Management, LLC (Menlo Park)

Name: Investor's Capital Management, LLC
Address: 1100 Alma Street, Suite 200, Menlo Park, CA, 94025
Telephone: 866 966 9291

Investor's Capital Management, LLC is a large advisory firm based in Menlo Park. It manages $135.54 million of regulatory assets for 448 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdictions of California and Texas.

Investor's Capital Management provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Investor's Capital Management: assets under management

The assets under management (AUM) of Investor's Capital Management, LLC is $135.54 million. The firm's AUM has grown by 27% since the beginning of its operation, and $1.33 million of the total AUM is attributable to clients outside of the United States.

The firm manages $127.06 million in discretionary accounts and $8.48 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $306.18 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $256.92 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 87% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 4% of the firm’s portfolio. Investments in pooled investment vehicles form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Investor's Capital Management, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. 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.

What kind of clients Investor's Capital Management serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Investor's Capital Management is high net worth individuals with 58 clients and $129.08 million of assets under management. Among the 9 most similar advisory firms, Investor's Capital Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $133.99 million for 74 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Investor's Capital Management doesn't advise any private funds.

Careers at Investor's Capital Management, LLC

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Julie Ann Schatz	Partner	1 May 2006	25% - 50%	4767682
Jennifer Hilary Cray	Partner, chief compliance officer	1 May 2006	25% - 50%	4297411
Richard Crafton Chambers	Chief compliance officer	1 May 2006	25% - 50%	4765485

Based in Menlo Park

The principal office where Investor's Capital Management, LLC performs its advisory services is located at 1100 Alma Street, Suite 200, Menlo Park, CA 94025, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 866 966 9291 or by fax 650 472 8924. The normal business hours are by appointment only on Other. You can find more information about the New York firm at feesonly.com.