R
ROI Capital Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Clients per advisor
0
Average account size
—
About
ROI Capital Management provides non-discretionary portfolio management and financial planning to individuals, high-net-worth clients, pension and profit-sharing plans, and business entities. The firm documents client objectives in an Investment Policy Statement and offers ongoing portfolio monitoring as well as one-time financial plans.
The firm uses fundamental analysis and a long-term trading approach, and generally limits investments to real estate funds (including REITs), equities, ETFs (including precious‑metal ETFs), TIPS, commodities, venture capital funds, and private placements. Like many peers it charges asset‑based advisory fees for ongoing management but also offers hourly financial planning — a fee arrangement that is uncommon among similar firms.
Notably, the firm’s principal holds insurance and real estate licenses and the brochure discloses that supervised persons may receive commissions for insurance or real estate transactions, creating conflicts of interest that are documented for clients. The firm also requires clients to use a specific custodian/broker-dealer for execution and was newly registered as an investment adviser in October 2024, reporting no assets under management at that time.
Client services
Financial planning
Portfolio management
Expertise
College savings (529s, UTMA, etc.)
Life insurance needs analysis
Cash flow / budgeting
Fee options
$0 - $25,000: 0.37% $25,000 - $1,000,000: 1.50% $1,000,001 - $2,000,000: 1.25% $2,000,001 - $3,000,000: 1.00%
Commissions may be earned from insurance and real estate sales, but these are not the primary source of compensation for advisory services.
$200 per hour for financial planning services (non-negotiable)
Account minimum: $25,000
Main office location
ROI Capital Management
393 E Riverside Dr Bldg 1 Ste 203
St. George UT 84790, United States
Number of offices
1
Most active in
ROI Capital Management has reported serving >5 clients in these states in the last 12 months.
Utah
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.
Real estate agent
They facilitate real estate transactions and may earn commissions.
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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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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