Semrod Capital LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$17,287,000
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
15
47% 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
15
LowAverage account size
$1,152,467
About
The firm provides discretionary and non‑discretionary asset management and portfolio management services to individuals, high‑net‑worth clients, and business entities. Services are tailored through documented client profiles that record objectives, time horizons, and risk tolerance, and clients may impose written restrictions on how their accounts are managed.
The firm’s investment process draws on a wide range of analytical methods — including fundamental analysis, Modern Portfolio Theory, technical and charting approaches, cyclical analysis, and quantitative techniques — and implements strategies that can include long‑term holdings, short‑term positions, and trading. Clients may elect discretionary authority or retain transaction approval, and the firm performs periodic (at least quarterly) account reviews to monitor allocations, rebalancing opportunities, and tax‑loss harvesting.
Distinctive features include a small client base and asset footprint (roughly $18.3 million in assets under management across about 15 clients, split between discretionary and non‑discretionary accounts) and an explicit practice of serving charitable organization clients, which is uncommon among peers. The firm also discloses a prior regulatory consent order (2020) related to wrap‑program transaction fees and advisory agreements, requires use of a specified custodian (Charles Schwab) for custody and fee deduction, and delegates proxy voting to clients.
Client services
Portfolio management
Expertise
Active portfolio management
Tax-loss harvesting
Fee options
Up to 1.0% annually, negotiable based on certain criteria
Account minimum: $500,000 (minimum may be lowered or waived in some instances)
Main office location
Semrod Capital LLC
Leadville CO, United States
Number of offices
1
Most active in
Semrod Capital LLC has reported serving >5 clients in these states in the last 12 months.
Colorado
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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