SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Proprietary Capital, LLC
Denver, CO
CRD 125139
Firm filing updated May 27, 2026 ·
- $651.8MAssets
- 36Clients
- 8Advisory staff
- 36Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals19
- Pooled vehicles17
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 19 | $9.6 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 17 | $642.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$651.8 million
- Accounts36
- DiscretionaryAll accounts
People
- Employees19
- Advisory staff8
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 125139, SEC file 801-61781.
- Registered with the SEC as an investment advisor (status date on record: February 10, 2003).
Is Proprietary Capital, LLC a fiduciary?
Short answer: Proprietary Capital, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.