ABA Capital LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Aba Capital is an independent registered investment adviser that provides fee‑based investment management and tailored portfolio construction for a small roster of clients, primarily high‑net‑worth individuals as well as trusts, corporations and estates. The firm offers discretionary and non‑discretionary management across a range of asset types, including equities, mutual funds and ETFs, fixed income, private investments and certificates of deposit.
The firm’s stated approach emphasizes long‑term strategic asset and risk‑factor allocation as the primary driver of portfolio outcomes, with the use of tactical allocation shifts and cash positions when market conditions or valuations warrant. Portfolios may incorporate options for hedging and margin in more aggressive strategies, and accounts receive quarterly reviews and reports tied to each client’s objectives and risk tolerance.
Aba Capital is noteworthy among similarly sized independent advisers for reporting a significant non‑U.S. client component while not serving lower‑balance retail individuals; the brochure also cites a $300,000 account guideline and a concentrated client base of seven, reflecting a higher‑net‑worth focus. The firm uses a global brokerage and custody platform and discloses activity in foreign equities and currencies, supporting cross‑border investing and more complex portfolio constructions than are common at many solo independent advisers.
Client services
Expertise
Fee options
0.5% annually
Account minimum: $300,000
Main office
Sunnyvale CA
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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