1492 CAPITAL MANAGEMENT, LLC

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	5
Investment Advisory/Research	5
Registered Broker-Dealer Representatives	1
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	102	$191.6M
Non-Discretionary	0	$0
Total	102	$191.6M

Clients

Type	Number	RAUM
Individuals	14	$3.2M
HNW Individuals	74	$107.9M
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	0	$0
Charitable organizations	9	$27.7M
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	$52.7M
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsMODEL PORTFOLIO DELIVERY
Compensation	% of AUMA PERCENTAGE OF AUM FROM PERSONS RECEIVING MODEL PORTFOLIOS

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	10.0M
Both for Same	0

Portfolio Manager to Program	Sponsor
CLIENT SELECT MANAGER - DUAL CONTRACT	ROBERT W. BAIRD & CO. INCORPORATED

Identifiers

SEC RIA File Number	801-70447
SEC ERA File Number	801-70447
SEC CIK Numbers	1584087
SEC CRD Numbers	148566
Legal Entity Identifier	None

Principal Office

309 NORTH WATER STREET
SUITE 210
MILWAUKEE
WI
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic