Bancroft Capital, LLC

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Client assets under management

Clients

Advisors

of 4 employees

Firm type

Supported

1-4 advisors or >$200M in AUM

Clients per advisor

Very Low

Average account size

—

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

Financial planning Pension consulting

Expertise

Retirement plans for business owners (SEP, solo 401k)

Occupation focus

Founder/Business Owner Retired

Fee options

Fixed

Fixed fees for financial planning generally between $1,000 to $2,500

Percentage

$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

Commissions

Clients may pay commissions on securities transactions and insurance products; commissions disclosed separately

Project-based

Financial planning hourly fees generally between $100 and $200

Other

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 location

Bancroft Capital, LLC

501 Office Center Drive, Suite 130

Fort Washington PA 19034, United States

Number of offices

Most active in

Pennsylvania

Disclosures

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:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Facebook X Website 484-546-8000

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.

Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Retired

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.

Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Retired

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 bringing 40 years of industry experience. She has worked at Bancroft Capital since 2018 and has also been associated with CM Advisory, LLC since 2016 and CFG Capital Markets, LLC from 2014 to 2018. 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 investment policy development, plan monitoring, and long-term portfolio diversification.

Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner Retired

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