TrueAdvisor
TrueAdvisor
CH
CH

Carol Horace

Stafford Capital Management LLC
41 Years of Experience
Sausalito, CA
View SEC Summary
View SEC Summary

Carol Horace is a registered investment advisor at Stafford Capital Management LLC, based in Sausalito, CA, with 41 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 4 clients with $4.4M in assets under management.

Stafford Capital Management LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
4 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$4.4M

Fee Structure

Minimum Investment:$1M
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M1.00%
$5.0M - $10.0M0.75%
$10M+0.50%

Fees are payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1505 Bridgeway, Suite 206-B, Sausalito, CA, 94965

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business Activities

Carol works as an office manager, head trader, and personal assistant for Stafford Capital. This takes about a quarter of Carol's time.

Employment History
Current Registrations
Stafford Capital Management LLC
March 2012 - Present · 14 yrs 7 mos
Previous Registrations
Wm. H. Murphy & CO., INC.Broker
March 2018 - June 2018 · 3 mos
Discern Securities, INC.Broker
March 2012 - June 2016 · 4 yrs 3 mos
Capfi Partners, LLCBroker
October 2010 - February 2011 · 4 mos
Potomac Research Group
June 2010 - December 2011 · 1 yr 6 mos
Stanford Group CompanyBroker
July 2005 - March 2009 · 3 yrs 8 mos
Pulse Trading, INC.Broker
December 2003 - September 2004 · 9 mos
Nutmeg Securities, LTD.Broker
September 2002 - December 2003 · 1 yr 3 mos
Charles Schwab & CO., INC.Broker
February 2001 - September 2002 · 1 yr 7 mos
Schwab Capital Markets L.P.Broker
September 2000 - October 2002 · 2 yrs 1 mo
Charles Schwab & CO., INC.Broker
August 1993 - September 2000 · 7 yrs 1 mo
Dean Witter Reynolds INC.Broker
September 1982 - August 1993 · 10 yrs 11 mos
State Registrations1 state
CA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Sausalito, CA →All financial advisors in California →