Captain Advisors LLC (San Francisco)

Name: Captain Advisors LLC
Address: 300 Montgomery St., San Francisco, CA, 94104
Telephone: (415) 523-0405

Captain Advisors LLC is an internet adviser based in San Francisco. It manages $99.88 million of regulatory assets for 8,514 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 34 other states.

Captain Advisors provides portfolio management for individuals and small businesses and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Captain Advisors: assets under management

The assets under management (AUM) of Captain Advisors LLC is $99.88 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 2830% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $99.88 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $11.73 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Captain Advisors LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Captain Advisors serves?

The only and largest group of clients of Captain Advisors is individuals with 7,906 clients and $99.88 million of assets under management. Among the 5 most similar advisory firms, Captain Advisors has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $99.88 million for 7,906 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Captain Advisors doesn't advise any private funds.

Careers at Captain Advisors LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Captain401 Inc.	Member	1 Jun 2015	75% - 100%	47-3868366
Roger Ray Lee	Manager & chief compliance officer	1 Jun 2015	Other	6517613
Human Interest Inc.	Member	1 Jun 2015	75% - 100%	47-3868366

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Roger Ray Lee	Ceo	1 Apr 2015	50% - 75%	6517613
Paul Anthony Sawaya	Cto	1 Apr 2015	25% - 50%	6517615

Based in San Francisco

The principal office where Captain Advisors LLC performs its advisory services is located at 300 Montgomery St., San Francisco, CA 94104, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (415) 523-0405 or by fax (415) 523-0405. The normal business hours are office visits by appointment only on Other. You can find more information about the New York firm at captainadvisors.com.