SOF Spectrum Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$6,325,837
Total clients
34
100% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
34
Average account size
$186,054
About
SOF Spectrum Capital Management is a state-registered independent investment adviser that provides discretionary asset management and retirement-plan allocation consulting for individual and high-net-worth clients. The firm manages a small client base and offers tailored portfolios intended to meet clients’ stated goals and risk tolerances.
The firm combines fundamental and technical analysis to identify investment opportunities and implements strategies ranging from long-term holdings to shorter-term trading, including the use of options and margin and allocations to ETFs. The principal’s prior experience as a self-directed trader and a background in computer engineering inform the firm’s emphasis on trading models, market behavior, and data sources in portfolio construction.
Notably, SOF offers performance-based fee arrangements to qualified clients, a structure that is uncommon among independent advisers and is disclosed alongside policies intended to address conflicts from side-by-side management. The firm operates as a small, active boutique that requires use of its recommended custodians, does not permit directed brokerage, and does not accept proxy-voting authority for client accounts.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Fee options
2.00% annually (charged quarterly in arrears)
2.00% annual asset management fee plus 25.00% performance fee on capital appreciation for qualified clients
Account minimum: $100,000
Most active in
SOF Spectrum Capital Management, LLC has reported serving >5 clients in these states in the last 12 months.
Texas
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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