Cota Capital Management, LLC

CRD#226750
Investment Advisor Firm

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Learn more about Cota Capital Management, LLC

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

    • Overview

    Cota Capital Management, LLC operates as a financial advisor company that has its headquarters in San Francisco, California. The company controls $1.1 billion in assets over 12 client accounts, placing it among the bigger financial advisory firms in the nation by assets under management (AUM). It has a small group, including 16 financial advisors. Cota Capital Management, LLC is not a registered broker-dealer, meaning it is not able to buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer firm to do so. Securities are tradable financial assets such as equities, options and bonds.

    Cota Capital Management, LLC oversees all of the firm's accounts in a discretionary manner. Discretionary management is a structure in which an investment advisor has the discretion to make transaction judgments for the client's account without requiring client permission. The investment advisory firm's typical account size is $87.8 million. The average financial advisor at Cota Capital Management, LLC administers fewer than one client account, making it one of the most individualized advisor firms in the country.

    The company's headquarters is at 555 Mission Street, San Francisco, California 94105. The company is legally allowed to serve clients in the state of California.

    Assets Under Management

    $1.1 billion

    Number of Advisors

    16

    Disclosures

    No

    Office Location

    555 Mission Street
    San Francisco, CA 94105

    Cota Capital Management, LLC by the Numbers

    Total Assets Under Management

    $1.1 billion

    National Average: $8.6 billion
    Total Number of Employees

    24

    National Average: 64
    Total Number of Accounts

    12

    National Average: 375,227
    Average Account Size

    $87.8 million

    National Average: $23.0 thousand
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    Fee Structure

    A financial advisor's fees usually vary depending on which services are provided. However, fees billed by the company can be comprised of the following fee structures: asset-based or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by Cota Capital Management, LLC.

    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

    The company caters to pooled investment vehicles. Out of its 12 clients, Cota Capital Management, LLC's biggest client group is pooled investment vehicles. Around 25% of the company's accounts are from outside of the U.S.

    • 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

    Cota Capital Management, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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