Strategy Cap, LLC

Strategy Cap LLC works with individual and high-net-worth clients as well as trusts, retirement plans and corporate entities to provide discretionary asset management, comprehensive financial planning, and retirement plan consulting. Its planning services cover a wide range of topics (tax and estate considerations, cash flow and debt analysis, business-owner planning, charitable planning and more) while implementation is offered separately at the client’s discretion.

The firm constructs customized portfolios from individual equities, fixed income, ETFs, mutual funds and other public securities, and uses a mix of fundamental, technical, cyclical and charting analysis alongside formal asset-allocation frameworks; portfolios are monitored and rebalanced on an ongoing basis and third-party managers are reviewed and used when appropriate. Strategy Cap discloses that it may employ margin transactions, options and other derivatives and can pursue both short-term and long-term trading strategies as part of client mandates, and it bills advisory fees on securities purchased on margin.

Compared with many supported firms, Strategy Cap is small and owner-operated and reports a modest discretionary AUM figure in its brochure; it also notes uncommon practices for its peer group — notably the use of borrowing in separately managed accounts and the use of derivatives. The firm’s representatives are licensed to sell insurance, its owners provide administrative and business-management services through affiliated entities, and it receives transition-support benefits from its custodian, all of which are disclosed as potential areas of interest to consider when evaluating its services.