Rhodes Capital Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$20,000,000
This total excludes 5 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
32
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
32
Average account size
$625,000
About
Rhodes Capital Management provides portfolio management and standalone financial planning and consulting to individuals, trusts, estates, charitable organizations, pension and profit‑sharing plans, and small businesses. Services described in the brochure include determination of financial objectives, cash‑flow and retirement planning, education funding and ongoing investment management using stocks, mutual funds, ETFs, bonds and option strategies.
The firm describes a strategic asset‑allocation, core‑and‑satellite approach that pairs passive index‑tracking core positions with active satellite holdings to manage cost, tax exposure and volatility. Investment implementation may include long‑ and short‑term positions as well as option writing, futures, short sales, margin transactions and hedging or leveraged ETF strategies when appropriate to a client’s stated objectives and risk tolerance.
Noteworthy aspects of the brochure include the advisor’s insurance licensing and the use of insurance‑related investment vehicles, and an explicit willingness to employ derivatives and margin in client accounts—practices that are less common among similar independent advisers. The firm also discloses a past NASD arbitration settlement (reported at $34,000 and dismissed with prejudice after settlement), a regulatory disclosure that prospective clients may consider when evaluating the firm.
Client services
Financial planning
Portfolio management
Expertise
Income planning
Options & derivatives strategies
Tax strategies for small businesses
Cash flow / budgeting
Fee options
Financial planning and consulting flat fees range from $500 to $10,000
$0 - $2,000,000: 2.00% $2,000,001 - $5,000,000: 1.50% $5,000,001+: 1.00%
Account minimum: $5,000 Minimum fee: $100 minimum annual fee, negotiable
Main office location
Rhodes Capital Management, Inc.
611 Ozier Dr
Batavia IL 60510, United States
Number of offices
1
Most active in
Rhodes Capital Management, Inc. has reported serving >5 clients in these states in the last 12 months.
Illinois
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:
-
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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