Servatus Capital

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Client assets under management

$87,591,902

Clients

59% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Very Low

Average account size

$3,020,410

About

Servatus Capital advises individuals (including high‑net‑worth clients), foundations, charitable organizations and businesses, offering customized financial planning, ongoing portfolio management and ERISA 3(21) retirement‑plan advisory services. The firm manages roughly $110 million for a small client base (29 relationships) and provides both discretionary and non‑discretionary management, as well as the option to act as a sub‑adviser for other advisers.

The firm applies a blend of fundamental, technical and cyclical analysis and emphasizes independence from commission‑based products, favoring low‑cost ETFs alongside individual equities, fixed income and alternative exposures. Portfolios are governed by written investment guidelines and, for accredited investors and certain separately managed strategies, Servatus may employ derivatives and options as part of its tactical solutions.

Notable distinctions disclosed in the brochure include ownership affiliations with a CPA/accounting firm and the firm’s practice of retaining third‑party solicitors or related‑party introductions for client referrals, with compensation disclosed where applicable. Servatus’s role as a sub‑adviser to other advisers, its explicit use of derivatives in managed accounts (including structured/buffer ETF and options strategies), and the combination of a relatively small client count with a sizable asset base are characteristics that set it apart from many peers.

Client services

Financial planning Portfolio management Pension consulting

Expertise

Active portfolio management Options & derivatives strategies Private / alternative investments Retirement income strategy Tax-loss harvesting

Occupation focus

Founder/Business Owner Executive

Fee options

Percentage

$0 - $1,000,000: 0.95% annually (95 basis points) $1,000,001 - $2,000,000: 0.75% annually (75 basis points) $2,000,001 - $8,000,000: 0.60% annually (60 basis points) $8,000,001 - $14,000,000: 0.50% annually (50 basis points) $14,000,001 - $19,000,000: 0.45% annually (45 basis points) $19,000,001 - $29,000,000: 0.40% annually (40 basis points) $29,000,001+: 0.35% annually (35 basis points)

Other

Account minimum: $750,000 (encouraged but not required, minimum may be waived at firm's discretion) Fee-only: Fixed project-based financial planning fees range from $3,000 to $15,000.

Main office location

Servatus Capital

999 Vanderbilt Beach Road, Suite 707

Naples FL 34108, United States

Number of offices

Most active in

Florida · Missouri · Nebraska

Disclosures

Business activities & affiliations

Is active or affiliated with:

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

314-750-1167

Advisors at this firm

Daniel S

Series 65, Series 66

Naples, FL

Servatus Capital

Daniel Stephen is a financial advisor at Servatus Capital with 10 years of industry experience. He holds Series 65 and Series 66 licenses and previously worked at M4 Capital, LLC for seven years before joining Servatus Capital in 2020. Servatus Capital serves individuals, including high-net-worth clients, foundations, charitable organizations, and businesses, offering financial planning, portfolio management, ERISA 3(21) retirement plan advice, and sub-adviser services. The firm employs a combination of fundamental, technical, and cyclical analysis to create customized portfolios using a range of investment vehicles, emphasizing low-fee ETFs and active risk-aware management.

Active portfolio management Options & derivatives strategies Private / alternative investments Retirement income strategy Tax-loss harvesting Founder/Business Owner Executive

Robert D

CFP®, Series 66

St. Louis, MO

Servatus Capital

Robert Dunn is a CFP® and Series 66 accredited financial advisor at Servatus Capital with 11 years of industry experience. His prior roles include positions at Pure Strike Capital and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Based in St. Louis, MO, he has worked in wealth management since 2015. Servatus Capital serves individuals, foundations, charitable organizations, and businesses by providing financial planning, portfolio management, ERISA 3(21) retirement plan advice, and sub-adviser services. The firm employs a combination of fundamental, technical, and cyclical analysis to build customized portfolios utilizing mutual funds, ETFs, equities, fixed income, and alternatives, with an emphasis on low-fee ETFs and active risk-aware management.

Active portfolio management Options & derivatives strategies Private / alternative investments Retirement income strategy Tax-loss harvesting Founder/Business Owner Executive

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