INVESTOR'S CAPITAL MANAGEMENT, LLC
Adviser information for INVESTOR'S CAPITAL MANAGEMENT, LLC last updated from Form ADV on May 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 418 | $162.7M |
| Non-Discretionary | 3 | $7.3M |
| Total | 421 | $170.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 19 | $5.3M |
| HNW Individuals | 52 | $160.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $71,115 |
| Other | <5 | $2.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 16 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-66929 |
|---|---|
| SEC ERA File Number | 801-66929 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141060 |
| Legal Entity Identifier | None |
Principal Office
1100 ALMA STREET, SUITE 200MENLO PARK
CA
United States
BY APPOINTMENT ONLY, BY APPOINTMENT ONLY
Tel: 866 966 9291, Fax: 650 472 8924
Chief Compliance Officer
JENNIFER CRAY
MANAGING MEMBER, PARTNER
1100 ALMA STREET, SUITE 200
MENLO PARK
CA
United States
Tel:
866 966 9291 X3
Fax:
650 472 8924
J********@***********M
(Full email address available in API data)
Regulatory Contact
JULIE SCHATZ
MANAGING MEMBER, PARTNER
1100 ALMA STREET, SUITE 200
MENLO PARK
CA
United States
Tel:
866 966 9291 X2
Fax:
650-472-8924
J*****@***********M
(Full email address available in API data)
Industry Affiliates
| FORUM FINANCIAL MANAGEMENT, LP | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHATZ, JULIE, ANN | Individual | – | MANAGING MEMBER, PARTNER | 05/2006 | 50-75% |
| CRAY, JENNIFER, HILARY | Individual | – | MANAGING MEMBER, PARTNER, CHIEF COMPLIANCE OFFICER | 05/2006 | 50-75% |