A complete list of active advisors currently associated with CM First Capital Corp.
Warmer can help you find a great advisor at CM First Capital Corp. or one who fits your needs even better.
CM First Capital Corp. provides investment advisory services to individuals (including high‑net‑worth clients), pension and profit‑sharing plans, trusts, estates, charitable organizations, and business entities. The firm offers discretionary portfolio management, a systematic dollar‑cost‑averaging advisory program, consulting, and non‑discretionary retirement plan participant advice. The firm’s portfolio management is tailored using client suitability information with ongoing monitoring and rebalancing, while the dollar‑cost‑averaging service is implemented as a regular‑interval program that can purchase numerous small positions for diversification. CM First Capital primarily emphasizes closed‑end funds and employs a mix of fundamental and technical analysis, and may use short‑term trading, options, margin, and other strategies when appropriate for a client’s objectives. Noteworthy aspects relative to peers include the firm’s explicit focus on closed‑end funds and participation in rights‑offering solicitation arrangements; the brochure discloses that concession payments from such funds are allocated with Pershing and the broker‑dealer each retaining 10% and the firm retaining the remainder, which can create economic incentives beyond asset‑based advisory arrangements. The firm also combines discretionary portfolio management with an organized DCA implementation and discloses that its advisers serve as registered representatives of a broker‑dealer and licensed insurance agents, which the brochure identifies as potential additional sources of compensation and conflicts of interest.
To learn more about the advisors currently working at CM First Capital Corp., click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.
Name |
Location |
Years of experience |
|---|---|---|
Huntington Beach, CA
| 2
| |
Huntington Beach, CA
| 46
|
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