Bancroft Capital, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Bancroft Capital provides investment advisory and retirement plan services primarily to institutional and plan clients, including pension and profit-sharing plans, banks/thrifts, corporations, and high-net-worth individuals. The firm offers ERISA-focused retirement consulting under both 3(21) and 3(38) arrangements and also provides financial planning for individuals, trusts, and charitable organizations.
The firm’s process emphasizes developing or reviewing an investment policy statement, monitoring plan investment options, preparing periodic performance reports, and assisting with selection and review of 401(k) service providers and qualified default investment alternatives. When engaged as a 3(38) manager Bancroft may exercise discretionary authority over plan assets, while 3(21) engagements are non‑discretionary; the firm generally favors long‑term strategies and evaluates overall portfolio diversification relative to client objectives.
Bancroft’s business model includes several affiliations that are atypical for firms of its type: its representatives are also registered as broker‑dealer registered representatives and insurance agents, and the firm discloses solicitation agreements with third‑party money managers. Those affiliations mean representatives may receive commissions for securities or insurance sales and referral fees for manager introductions—arrangements the brochure identifies and discloses as potential conflicts of interest—while the firm also offers financial planning on fixed‑fee or hourly bases.
Client services
Expertise
Occupation focus
Fee options
Fixed fees for financial planning generally between $1,000 to $2,500
$1 - $1,000,000: 0.75% annually $1,000,000 - $4,999,999: 0.50% annually $5,000,000+: Under 0.50%, to be negotiated
Clients may pay commissions on securities transactions and insurance products; commissions disclosed separately
Financial planning hourly fees generally between $100 and $200
Fee-only: Fixed fees for financial planning generally between $1,000 to $2,500; hourly fees generally between $100 and $200 per hour
Main office
501 Office Center Drive, Suite 130
Fort Washington PA 19034
Advisors at this office
3
Most active in
Pennsylvania
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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.
Quick links
Advisors at this firm
Cauldon Q
Series 66
Fort Washington, PA
Bancroft Capital, LLC
Cauldon Quinn is a financial advisor with Bancroft Capital, LLC, holding a Series 66 designation and 17 years of industry experience. He has worked at CFG Capital Markets, LLC since 2017 and previously at Drexel Hamilton, LLC from 2010 to 2016. Bancroft Capital provides investment advisory and retirement plan services primarily to institutional and plan clients, including pension and profit-sharing plans, banks, corporations, and high-net-worth individuals. The firm offers ERISA-focused retirement consulting and financial planning, emphasizing long-term strategies and portfolio diversification.
Kathleen B
Series 66
Fort Washington, PA
Bancroft Capital, LLC
Kathleen Baltra is a financial advisor at Bancroft Capital, LLC with 19 years of industry experience. She holds the Series 66 designation and has worked at Bancroft Capital since 2018. Her prior experience includes roles at CM Advisory, LLC and CFG Capital Markets, LLC. Bancroft Capital provides investment advisory and retirement plan services mainly to institutional and plan clients such as pension and profit-sharing plans, banks, corporations, and high-net-worth individuals. The firm focuses on ERISA-related retirement consulting and financial planning, emphasizing long-term strategies and portfolio diversification.
Susan G
Series 63, Series 65
Fort Washington, PA
Bancroft Capital, LLC
Susan Gress is a financial advisor with Bancroft Capital, LLC, holding Series 63 and Series 65 licenses and possessing 41 years of industry experience. She has worked at Bancroft Capital since 2018 and previously held positions at CM Advisory, LLC, CFG Capital Markets, LLC, Boenning & Scattergood, Inc., and Ferris, Baker Watts, LLC. Bancroft Capital provides investment advisory and retirement plan services primarily to institutional clients and high-net-worth individuals, focusing on ERISA retirement consulting, financial planning, and long-term investment strategies.
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