D
Daley Capital, Inc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$4,050,000
Clients
10
0% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
10
LowAverage account size
$405,000
About
Daley Capital, Inc. provides personalized investment management and financial planning primarily for individual clients and also serves high-net-worth individuals, trusts, estates, retirement plan participants and small businesses. Services include discretionary portfolio management using exchange-traded funds and mutual funds, written or hourly financial planning, seminars and occasional public speaking engagements.
The firm’s investment approach emphasizes diversified, long-term portfolios guided by modern portfolio theory and the Fama–French three-factor model, with periodic rebalancing and a preference for ETFs and no‑load mutual funds. Daley Capital uses both fundamental and technical analysis, manages client accounts on a discretionary basis, and charges advisory fees based on assets under management.
What is notable relative to many peers is that the principal maintains an affiliated insurance practice: an associated person holds an insurance license, sells fixed insurance products (term life and long‑term care), and may receive commissions disclosed to clients; the principal devotes roughly 5% of her time to insurance activities. The firm is a single-advisor practice managing approximately $4.0 million for about ten clients, recommends SSG/Pershing as a custodian, and notes operational practices such as not aggregating trades and not voting client proxies.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
General tax planning
Long-term care insurance
Life insurance needs analysis
General estate planning guidance
Fee options
$450 to $2,500 for written financial plans, negotiable
$0 - $1,000,000: 1.0% Above $1,000,000+: Negotiable
Up to $250 per hour, negotiable
Most active in
Daley Capital, Inc has reported serving >5 clients in these states in the last 12 months.
Maryland
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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