Process Design Capital Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Process Design Capital Management LLC provides discretionary portfolio management and financial planning primarily to individual and high‑net‑worth clients, and also serves retirement plans. Services include ongoing portfolio management, financial planning for ongoing clients at no additional cost, selection and monitoring of third‑party managers, and pension consulting under ERISA frameworks.
The firm documents client goals in individualized Investment Policy Statements and uses a mix of analysis methods—charting, fundamental, technical, quantitative techniques and modern portfolio theory—alongside strategies that can include long‑term equity and fixed‑income investing, ETFs (including precious‑metals ETFs), and options trading. PDCM typically seeks discretionary trading authority, recommends a qualified custodian for execution and custody, and may aggregate trades across client accounts.
What distinguishes PDCM from many peers is its explicit offering of ERISA retirement plan services, including both limited 3(21) advisory work and full 3(38) investment manager engagements for plans, together with recent additions of financial consulting and ERISA services. The firm also discloses potential conflicts tied to fee‑sharing with third‑party managers and receipt of soft‑dollar research, while operating as a four‑advisor team with roughly $92 million in assets under management and no stated account minimum.
Client services
Expertise
Fee options
$50,000 - $250,000: 2.00% $250,001 - $500,000: 1.50% $500,001 - $1,000,000: 1.25% $1,000,000 - $3,000,000: 1.00% $3,000,000+: 0.75%
Fee-only: Financial planning negotiable fixed fee between $250 and $2,000
Main office
7301 N. 16th St #102
Phoenix AZ 85020
Advisors at this office
4
Most active in
Arizona · California · Minnesota · Texas
Also doing business as
Garber, James M · Process Design Capital Management LLC
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
Quick links
Advisors at this firm
James G
CFA®, Series 63, Series 65
Phoenix, AZ
Process Design Capital Management LLC
James Garber is a CFA® charterholder with 23 years of industry experience. He has been with Process Design Capital Management LLC since 2014, working as part of a four-advisor team. The firm provides discretionary portfolio management and financial planning primarily to individual and high-net-worth clients, as well as retirement plans. Process Design Capital Management LLC employs a variety of analysis methods and offers ERISA retirement plan services, including both advisory and investment manager roles.
Mark T
Series 63, Series 65
Phoenix, AZ
Process Design Capital Management LLC
Mark Trumble is a financial advisor at Process Design Capital Management LLC with 44 years of industry experience. He holds Series 63 and Series 65 designations and has worked at Process Design Capital Management since 2017, following a 16-year tenure with Emergent Financial Group Inc. Process Design Capital Management provides discretionary portfolio management and financial planning primarily for individual and high-net-worth clients, as well as retirement plans. The firm employs a combination of analytical methods alongside strategies including long-term equity and fixed-income investing, ETFs, and options trading, and offers specialized ERISA retirement plan services.
Sean B
Series 63, Series 65
Phoenix, AZ
Process Design Capital Management LLC
Sean Balog is a financial advisor with Process Design Capital Management LLC in Phoenix, AZ, holding Series 63 and Series 65 licenses and bringing 20 years of industry experience. He has been with Process Design Capital Management since 2014. Outside of his advisory work, Balog serves on the board of directors of the Clear Light Buddhist Center, an organization focused on meditation and Buddhist spiritual practice. Process Design Capital Management LLC provides discretionary portfolio management and financial planning primarily to individual and high-net-worth clients, as well as retirement plans. The firm employs a variety of analytical techniques and investment strategies, including ERISA retirement plan services, and operates as a four-advisor team managing approximately $92 million in assets.
Elizabeth O
Series 63, Series 65
Phoenix, AZ
Process Design Capital Management LLC
Elizabeth Ottersberg is a financial advisor at Process Design Capital Management LLC with 14 years of industry experience. She holds Series 63 and Series 65 designations and has been with Process Design Capital Management since 2014. Process Design Capital Management LLC provides discretionary portfolio management and financial planning primarily to individual and high-net-worth clients, as well as retirement plans. The firm employs a range of analytical methods and offers ERISA retirement plan services, including both advisory and full investment management roles.
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