Dow Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$2,674,805
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
3
100% 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
3
LowAverage account size
$891,602
About
Dow Capital Management is a single-advisor registered investment adviser that provides ongoing investment supervisory services to a very small, concentrated client base. The firm lists its client types as high‑net‑worth individuals, pension and profit‑sharing plans, and corporate/business clients, and it invests client portfolios in mutual funds, equities, bonds, ETFs, REITs and government securities.
The firm creates an Investment Policy Statement for each client and typically operates with discretionary trading authority to implement asset allocation, security selection and regular portfolio monitoring. Its stated methods include both fundamental and technical analysis and it uses long‑term and short‑term trading strategies (including margin transactions), with account reviews performed at least monthly by the sole advisor.
Dow Capital is distinctive among solo independent advisers in that it manages a pooled vehicle (reported as a momentum equity fund) and explicitly serves pension plans and corporate clients—client types that are relatively uncommon for firms of this size and structure. The brochure also shows a very small number of client relationships and modest assets under management, indicating highly concentrated, individualized mandates.
Client services
Portfolio management
Pension consulting
Expertise
Active portfolio management
Fee options
$1 - $1,000,000: 1.00% $1,000,001 - $2,000,000: 0.75% $2,000,001 - $3,000,000: 0.50% Above $3,000,000+: 0.33%
Fee-only: Advisory fees based on percentage of AUM as per tiered schedule; no commissions or other compensation accepted.
Main office location
Dow Capital Management, LLC
674 Unionville Road, Suite 105
Kennett Square PA 19382, United States
Number of offices
1
Most active in
Dow Capital Management, LLC has reported serving >5 clients in these states in the last 12 months.
Pennsylvania
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.
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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.
-
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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