Ostra Capital

CRD#161847
Investment Advisor Firm

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Overview

Ostra Capital is a financial advisory firm based in Menlo Park, California. Ostra Capital manages $138.4 million in total assets throughout two accounts, placing it in the mid-tier of investment advisory firms in the United States by assets under management (AUM). The firm has a small team of three employees, all of whom are financial advisors. Ostra Capital is not a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its clients' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are exchangable financial assets like options, stocks and bonds.

Ostra Capital manages all of the firm's accounts in a discretionary manner. Discretionary management is a structure in which transaction judgments are made by an investment advisor without requiring the customer's approval. The company's typical account size is $69.2 million. The typical advisor at Ostra Capital administers fewer than one client account, making it one of the most individualized financial advisor firms in the country.

The company's headquarters is located at 2180 Sand Hill Road, Menlo Park, California 94025.

Assets Under Management

$138.4 million

Number of Advisors

3

Disclosures

No

Office Location

2180 Sand Hill Road
Menlo Park, CA 94025

Ostra Capital by the Numbers

Total Assets Under Management

$138.4 million

National Average: $3.3 billion
Total Number of Employees

3

National Average: 31
Total Number of Accounts

2

National Average: 1,935
Average Account Size

$69.2 million

National Average: $1.7 million

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Fee Structure

Financial advisory fees typically vary depending on which services the firm provides the client. Fee types billed by the company most likely include any combination of the following fee structures: asset-based or performance-based. The company does not supply a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.

Available

  • Offered by 72% 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 17% 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 35% 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 2% 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 1% 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 39% 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 12% 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.

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Types of Clients

The company works with pooled investment vehicles. Out of its two customers, Ostra Capital's largest client type by number of accounts is pooled investment vehicles. None of the firm's accounts 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

Ostra Capital does not have any disclosures.

Please visit its Form ADV for more details.

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This content was compiled from the SEC and FINRA