A
AC3 Capital
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$18,879,678
Total clients
2
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
2
Average account size
$9,439,839
About
The firm provides wrap asset management and standalone financial planning and consulting to individuals (primarily high‑net‑worth), as well as trusts, estates, and charitable organizations. It discloses managing $23,337,286 on a non‑discretionary basis as of 12/31/2019 and offers asset management only through wrapped accounts.
For wrap clients the firm delivers individualized portfolio management while operating primarily on a non‑discretionary basis, obtaining client permission prior to effecting securities transactions. Its investment methods combine technical/charting, cyclical and fundamental analysis and may include short‑term trading as well as longer‑term purchases, depending on client objectives.
Compared with many independent solo advisers, the firm sponsors its own wrap fee program—a relatively uncommon arrangement—and emphasizes non‑discretionary relationships rather than discretionary authority. The brochure also discloses a prior regulatory disciplinary matter involving management personnel that has since been resolved, and the firm generally concentrates on a narrow, higher‑net‑worth client base rather than broad retail individual clientele.
Client services
Financial planning
Portfolio management
Expertise
General tax planning
Charitable giving & philanthropy
College savings (529s, UTMA, etc.)
Fee options
Flat fees range from $500 to $2,000 for financial planning and consulting services.
Up to $100 per hour for financial planning and consulting services.
Account minimum: $100,000 (negotiable and may be waived) Fee-only: Financial planning and consulting services charged on hourly or flat fee basis. Hourly fees up to $100 per hour; flat fees range from $500 to $2,000.
Main office location
AC3 Capital
San Diego CA, United States
Number of offices
1
Most active in
AC3 Capital has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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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