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Klosterman Capital Corp (Carlsbad)


Klosterman Capital Corp is a large advisory firm based in Carlsbad. It manages $102.09 million of regulatory assets for 204 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of California.

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Klosterman Capital Corp provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Klosterman Capital Corp: assets under management

The assets under management (AUM) of Klosterman Capital Corp is $102.09 million. The firm's AUM has grown by 85% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $97.12 million in discretionary accounts and $4.97 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $522.16 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $276.14 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Klosterman Capital Corp for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Steven Leo Klosterman Trustee 1 Jul 1997 50% - 75% 715600
Linda Mellick Klosterman Trustee 1 Jul 1997 50% - 75% 4785008

Based in Carlsbad

The principal office where Klosterman Capital Corp performs its advisory services is located at 5973 Avenida Encinas, Carlsbad, CA 92008 The mailing address of the firm is 111 W. Ocean Blvd., Suite 2300, Long Beach, CA 90802. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 760-804-8604 or by fax 760-804-8603. The normal business hours are 9 a.m. to 5 p.m. on Monday - Friday. You can find more information about the New York firm at www.klostermancapital.com.


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