Iron Horse Capital, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Iron Horse Capital, Inc. provides discretionary portfolio management, financial planning, and financial consulting to a mix of clients including individual investors (both non‑high‑net‑worth and high‑net‑worth), pooled investment vehicles, corporations, charitable organizations, and other institutional clients. The firm also acts as an investment adviser and sub‑adviser to a registered investment company and may allocate client assets to that Fund as part of its services.
The firm manages accounts using model portfolios tailored to clients’ objectives and risk tolerances, with discretionary trading authority and the ability for clients to impose written restrictions on investments. Its stated investment toolkit includes stocks, bonds, ETFs, mutual funds and, notably, derivative instruments (including options and related strategies) used within separately managed accounts, and the firm notes that tax efficiency is not a primary management consideration.
Compared with many independent solo advisers, Iron Horse is unusual in deploying derivatives in separately managed accounts and in serving both as adviser and sub‑adviser to a Fund while receiving separate compensation for Fund management. The firm is a single‑advisor practice overseeing approximately $102.6 million in discretionary assets, routinely requires custody at Charles Schwab and directed brokerage, and discloses related conflicts such as investing client assets in its advised Fund and the use of model allocations.
Client services
Expertise
Fee options
Fixed fee for financial planning services generally ranges between $1,000 - $10,000 (negotiable)
$0 - $499,999.99: 1.25% $500,000 - $999,999.99: 1.10% $1,000,000+: 1.00%
$350 per hour (negotiable)
Account minimum: $400,000
Main office
Irvine CA
Advisors at this office
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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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.
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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.
Forms ADV
Advisors at this firm
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