F
FESTOG Capital, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$26,134,168
Clients
42
24% 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
42
HighAverage account size
$622,242
About
Festog Capital, LLC is a small independent registered investment adviser that provides discretionary portfolio management to individuals and high‑net‑worth individuals. The firm manages client accounts across mutual funds, equities, fixed income, exchange‑traded funds and commodities and does not delegate investment management to third‑party sub‑advisers.
The firm tailors an Investment Policy Statement for each client and primarily implements a low‑beta model portfolio, using a mix of fundamental, technical and cyclical analysis alongside long‑term trading and modern portfolio theory. It requires clients to use a specific broker‑dealer for execution and discloses that it may receive research or other soft‑dollar benefits from custodians.
Distinctive features include managing all assets in‑house for a relatively small client base (roughly $26 million AUM across about 42 clients) and routinely including commodities and precious‑metal ETF exposures in its strategies; the firm also states it has no account minimums. The brochure discloses a past regulatory finding for transacting in a state without proper adviser registration from January 2020 through March 2022, which resulted in a civil penalty.
Client services
Portfolio management
Expertise
Wealth management
Passive / index investing
Active portfolio management
Fee options
$0 - $750,000: 1.00% $750,001 - $2 Million: 0.80% $2 Million+: 0.50%
Main office location
FESTOG Capital, LLC
Charlotte NC, United States
Number of offices
1
Most active in
FESTOG Capital, LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina · Ohio · Texas
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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