Spring Capital Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Spring Capital Management provides discretionary portfolio management services to individual clients, operating under a percentage-of-assets-under-management fee model. The firm’s Form ADV reports it manages approximately $17.4 million in client assets across 38 client relationships.
The firm’s brochure describes its methods of analysis, investment strategies and the risks of loss, and it documents processes for account reviews, brokerage selection, custody and personal trading. These disclosures indicate a focus on ongoing portfolio management and compliance practices typical of registered advisers.
Noteworthy for a firm of its size, the brochure contains a dedicated section on performance-based fees and side‑by‑side management as well as a section addressing requirements for state-registered advisers, which clients might find informative when comparing small independent advisory practices. The combination of a relatively small asset base and explicit disclosure of these topics distinguishes its regulatory and reporting detail from many peers.
Client services
Fee options
$0 - $500,000: 1.40% $500,001 - $1,000,000: 1.25% $1,000,001+: 1.00%
Account minimum: $500,000 Fee-only: Annual fees based on assets under management with tiered rates of 1.40% for first $500,000; 1.25% for next $500,000; 1.00% over $1,000,000
Main office
San Mateo CA
Advisors at this office
1
Most active in
California
Also doing business as
Spring Capital Management · Spring, Tod Marc
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
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