Context Capital Management LLC

CRD#115167
Investment Advisor Firm

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Learn more about Context Capital Management LLC

  • Overview
  • By the Numbers
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Context Capital Management LLC is a financial advisor company based in La Jolla, California. The firm oversees $1.3 billion in assets throughout three client accounts, placing it among the biggest financial advisory firms in the United States by assets under management (AUM). The firm has a small team, including 6 financial advisors. Context Capital Management LLC does not act as a registered broker-dealer, signifying that it is not able to buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal investments such as bonds, options and equities.

    Context Capital Management LLC administers all of the firm's accounts in a discretionary manner. Discretionary management signifies that transaction judgments for the client's account are made by an investment advisor without needing to seek the client's approval. The company supervises an average of $438.3 million for every account. The typical advisor at Context Capital Management LLC administers fewer than one client account, making it one of the most individualized firms in the country.

    The firm's central office is at 7724 Girard Avenue, La Jolla, California 92037. The firm is legally permitted to serve investors across 3 states, including California, Florida and Connecticut.

    Assets Under Management

    $1.3 billion

    Number of Advisors

    6

    Disclosures

    No

    Office Location

    7724 Girard Avenue
    La Jolla, CA 92037

    Context Capital Management LLC by the Numbers

    Total Assets Under Management

    $1.3 billion

    National Average: $8.6 billion
    Total Number of Employees

    12

    National Average: 64
    Total Number of Accounts

    3

    National Average: 375,227
    Average Account Size

    $438.3 million

    National Average: $23.0 thousand
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    Fee Structure

    Fees for financial management depend on which services the firm provides the client. Fees charged by the company likely consist of any combination of the following fee types: asset-based or performance-based. Context Capital Management LLC does not supply a wrap fee program, in which the firm offers a service bundle for a single fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 32% of firms that offer this fee type

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

    Back to Overview

    Types of Clients

    Context Capital Management LLC caters to pooled investment vehicles. Out of its three accounts, Context Capital Management LLC's biggest client group is pooled investment vehicles. Around 67% of the firm's customers reside abroad.

    • High-Net-Worth Individuals* - 0%
    • Other Individuals - 0%
    • Corporations - 100%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Context Capital Management LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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