Pale Blue Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,090
Clients
9
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
9
LowAverage account size
$121
About
Pale Blue Capital LLC provides ongoing, tailored portfolio management to individuals, high-net-worth clients, charitable organizations, and business entities, documenting each client's goals and risk tolerance in an Investment Policy Statement. Like many independent advisers, it implements client portfolios on a discretionary basis and typically charges asset-based fees for standard services.
The firm combines fundamental analysis and modern portfolio theory with a range of investment strategies, including long- and short-term trading, short sales, margin and options trading, and allocations to mutual funds, ETFs, real estate funds, private placements and venture capital interests. Portfolios are monitored regularly with quarterly reporting, and PBC emphasizes documented risk profiles and equitable allocation of limited investment opportunities, including IPO participation.
What distinguishes the firm from most solo independent advisers is its willingness to offer performance-based fee arrangements to qualified clients and to manage accounts for institutional-type clients such as charities and corporations, practices that are relatively uncommon in this peer group. Despite its small scale and recent reorganization from a prior entity, the adviser manages both performance-fee and non-performance accounts, discloses potential side-by-side conflicts, and relies on institutional custody relationships that include access to research and soft-dollar benefits.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Active portfolio management
Real estate investing
Fee options
$0 - $5,000,000: 1.00% $5,000,001 - $20,000,000: 0.90% $20,000,001+: 0.80%
Annual fee of 2.00% of assets under management plus 20.00% performance fee based on capital appreciation, for qualified clients
Main office location
Pale Blue Capital LLC
Carmel CA, United States
Number of offices
2
Most active in
Pale Blue Capital LLC has reported serving >5 clients in these states in the last 12 months.
California
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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