1035 Capital Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$4,725,777
Total clients
24
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
24
Average account size
$196,907
About
1035 Capital Management provides discretionary portfolio management to individuals, high-net-worth clients, family offices and institutional investors, including endowments and foundations. The firm offers four proprietary model strategies—Small Cap Core, Investment Grade Preferred, All Cap High Yield Preferred, and a Commodity Trend Following portfolio—and may also construct customized portfolios to address specific client needs.
The firm’s investment process blends bottom-up fundamental analysis (described as “catalyst-driven” for small caps) with sector rotation tools and technical/trend models, and emphasizes continuous monitoring and disciplined sell rules. Portfolios are managed on a model-driven basis with stated risk-management procedures and a focus on “intelligent diversification” and low turnover for its preferred-stock strategies.
Compared with many solo independent advisers, 1035 Capital explicitly lists institutional clients among its target market and offers multiple specialized preferred-stock strategies plus an ETF-based commodity trend-following approach, which are less common for firms of this size. The brochure also describes the firm’s practice of providing periodic client reporting and performance summaries and notes an online presence, indicating an established process for communicating results and written commentary to clients.
Client services
Expertise
Fee options
$0 - $100,000: 1.50% $100,001 - $250,000: 1.40% $250,001 - $500,000: 1.30% $500,001 - $1,000,000: 1.20% $1,000,001 - $5,000,000: 1.10% $5,000,001+: 1.00% $0 - $10,000,000: 1.00% $10,000,001 - $25,000,000: 0.90% $25,000,001 - $50,000,000: 0.80% $50,000,001+: Negotiable
Account minimum: $100,000
Main office location
1035 Capital Management LLC
Marthasville MO, United States
Number of offices
1
Most active in
Illinois · Missouri
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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