Klocke Capital Group, LLC

Klocke Capital Group, LLC provides ongoing investment supervisory and portfolio management services primarily to individual and high-net-worth clients, including separately managed accounts and individual retirement accounts such as 401(k) plans. The firm documents client goals and risk tolerance in an Investment Policy Statement and typically charges percentage-of-assets-under-management fees billed quarterly in advance.

Klocke employs both fundamental and technical analysis to construct portfolios and often operates with discretionary authority to implement asset allocation and security selection consistent with each client’s IPS. The firm’s stated strategies include long- and short-term trading, short sales, margin transactions, and options-writing (including covered, uncovered, and spreading strategies), which may be used in separately managed accounts.

Distinctive items disclosed in the brochure include a regulatory stipulation with the State of Florida concerning invoicing procedures (resulting in a $4,000 payment) and a recent material change noting the firm no longer votes client proxies. The firm’s explicit use of derivatives and options strategies in client accounts, together with its management of retirement plan accounts, are less common features among single-advisor independent firms and may introduce additional complexity and risk relative to many peers.