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 3 clients with $4.9M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 1.00% |
| $5.0M - $10.0M | 0.75% |
| $10M+ | 0.50% |
Fee Estimator
Location
1505 Bridgeway, Suite 206, Sausalito, CA, 94965
Get directionsHistory
Regulatory History
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
Previous Registrations
Wm. H. Murphy & CO., INC.Broker
Discern Securities, INC.Broker
Capfi Partners, LLCBroker
Potomac Research Group
Stanford Group CompanyBroker
Pulse Trading, INC.Broker
Nutmeg Securities, LTD.Broker
Charles Schwab & CO., INC.Broker
Schwab Capital Markets L.P.Broker
Charles Schwab & CO., INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations1 state
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.