Fleet Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$18,600,000
Total clients
19
95% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
19
Average account size
$978,947
About
Fleet Capital Management, LLC is a fee‑only independent investment adviser that provides discretionary portfolio management to individuals, high‑net‑worth families, trusts, foundations and charitable institutions. The firm manages approximately $18.6 million for a small client base and primarily invests in stocks and exchange‑traded funds, with assets commonly custodied at Schwab Institutional or a client’s chosen custodian.
The firm’s investment approach emphasizes downside protection and risk management over return maximization, using quantitative techniques grounded in Modern Portfolio Theory. Portfolios are constructed within a Risk‑Managed Trading Account framework that assigns clients to sub‑portfolios based on risk tolerance and uses metrics such as Alpha, Beta, Sharpe and up/down capture, alongside subscription‑based screening tools and a consistency analysis of investments’ placement in a northwest‑quadrant framework.
Notable characteristics for a solo independent adviser include a client mix heavily weighted to high‑net‑worth families (over 95% of managed accounts), daily monitoring of holdings, and regular client reviews often conducted via video conferencing. The firm discloses a prior client arbitration and a brief FINRA suspension in its regulatory history, maintains a written Code of Ethics, and reports that it does not accept soft‑dollar benefits, instead paying for research and technology on a subscription basis.
Client services
Portfolio management
Expertise
Active portfolio management
Tax-loss harvesting
Wealth management
Fee options
0.5% to 1.0% based on risk account level chosen
Account minimum: $250,000 Fee-only: Fee-only investment advisory firm charging percentage of assets under management.
Main office location
Fleet Capital Management, LLC
Bellingham WA, United States
Number of offices
1
Most active in
Fleet Capital Management, LLC has reported serving >5 clients in these states in the last 12 months.
Colorado · Washington
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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