Brol Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,348,811
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
8
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
8
LowAverage account size
$168,601
About
Brol Capital Management serves individuals and families as well as institutional clients such as foundations, endowments, private investment funds, and small to mid-sized businesses through 3(38) fiduciary services for employer retirement plans. The firm provides fee-based financial planning, asset allocation and portfolio construction, concentrated All‑Cap equity sleeves, total‑return strategies, alternative investment due diligence, and 3(38) plan management.
Investment approach centers on a mean‑variance core/satellite framework: a core global allocation implemented mainly with ETFs and fixed‑income instruments, complemented by satellite allocations that include a concentrated All‑Cap equity portfolio, a Total Return sleeve using stocks, ETFs and options for absolute‑return objectives, and allocations to third‑party alternative managers after due diligence. Portfolio decisions use proprietary models, long‑term capital market assumptions and opportunistic rebalancing; discretionary authority is used for managed retail accounts while 3(38) relationships are handled under fiduciary plan arrangements.
The firm is notable among solo independent advisers for its material business with corporate/plan and other institutional clients and for holding a larger portion of assets in 3(38) fiduciary relationships rather than solely discretionary individual accounts. The principal is a CFA charterholder who also teaches finance part‑time and provides analytic expert‑witness services, activities that the brochure cites as part of the firm’s professional profile and research capabilities.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Concentrated stock management
Options & derivatives strategies
Private / alternative investments
Wealth management
Occupation focus
Founder/Business Owner
Fee options
Negotiated fixed fees from $500 to $5,000 per annum for accounts under $250,000 (non-401K plans)
$250,000 - $2,000,000: 1.00% >$2,000,000 - $5,000,000: 0.75% >$5,000,000+: 0.50% < $5,000,000+: 0.50% (3(38) Fiduciary services) $5,000,001 - $20,000,000: 0.20% (3(38) Fiduciary services) $20,000,001 - $100,000,000: 0.08% (3(38) Fiduciary services) >$100,000,001+: 0.05% (3(38) Fiduciary services)
$250 per hour for financial planning without investment management
Account minimum: $250,000 for non-401K plans (negotiated fixed fee accepted below this) Minimum fee: $2,000 per year minimum flat fee for 3(38) Fiduciary plans (not to exceed 2% of plan year-end market value) Fee-only: Financial planning service only billed at $250 per hour
Main office location
Brol Capital Management, LLC
Hampton Cove AL, United States
Number of offices
1
Most active in
Brol Capital Management, LLC has reported serving >5 clients in these states in the last 12 months.
Alabama
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
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.
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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.
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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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