Advent Capital LLC

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Client assets under management

$66,551,027

Clients

108

10% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$616,213

About

Advent Capital LLC provides discretionary portfolio management and investment supervisory services primarily to individual and high‑net‑worth clients, overseeing roughly $66.6 million in regulatory assets across about 108 accounts with two advisors. The firm documents each client’s situation in an Investment Policy Statement and generally advises on mutual funds, equities, bonds, ETFs, REITs and government securities.

The firm combines fundamental and technical analysis and implements a range of strategies from long‑term investing to short‑term trading, including short sales, margin transactions, and options writing, typically with discretionary authority. Client accounts are reviewed at least monthly by firm management, and clients receive regular custodial reporting.

Notably, Advent Capital offers performance‑based fee arrangements to qualified investors — an option relatively uncommon among peers — and is affiliated with licensed insurance agents, with the brochure disclosing that commissionable insurance products may be recommended and could create conflicts of interest. The firm manages all client assets internally rather than selecting third‑party managers, uses custodians including Charles Schwab and Interactive Brokers, and describes policies intended to address conflicts that arise from managing both performance‑fee and standard accounts.

Client services

Financial planning Portfolio management

Expertise

Options & derivatives strategies Active portfolio management

Fee options

Percentage

$0 - $2,499,999: 1.00% annually (Conservative Strategy below $2,500,000) $2,500,000+: 0.75% annually (Conservative Strategy at or above $2,500,000) $0+: 1.25% annually (Growth Strategy flat fee)

Performance-based

20% of net profits above a high water mark for qualified investors

Main office location

Advent Capital LLC

915 Highland Pointe, Suite 250

Roseville CA 95678, United States

Number of offices

Most active in

California

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Is not active or affiliated with:

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 916-384-8060

Advisors at this firm

Kathryn S

Series 63, Series 65

Roseville, CA

Advent Capital LLC

Kathryn Starbuck is a financial advisor at Advent Capital LLC with 11 years of industry experience. She holds Series 63 and Series 65 licenses and has been with Advent Capital since 2013. Outside of her advisory role, she is a licensed life and health insurance agent in California and serves as a volunteer Trustee on the endowment committee of the Lutheran Church of the Resurrection. Advent Capital LLC provides discretionary portfolio management to individual and high-net-worth clients, developing individualized investment policy statements and offering ongoing supervisory services across a range of securities. The firm employs both fundamental and technical analysis and uses various trading strategies with discretionary authority, conducting regular account reviews and managing conflicts related to performance-based fees and commissionable insurance products.

Options & derivatives strategies Active portfolio management

Mikus M

CFP®, Series 63, Series 66

Roseville, CA

Advent Capital LLC

Mikus Mergups is a CFP® with 17 years of industry experience, currently serving as an advisor at Advent Capital LLC since 2013. He holds Series 63 and Series 66 licenses and is also individually licensed as a Life/Health insurance agent in California, a business he conducts outside of Advent Capital and outside regular trading hours. Advent Capital LLC provides discretionary portfolio management primarily to individual and high-net-worth clients, offering customized investment policy statements and ongoing supervisory services across a range of securities. The firm employs both fundamental and technical analysis and utilizes various trading strategies with regular account reviews to align with client risk tolerances and objectives.

Options & derivatives strategies Active portfolio management

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