In these uncertain times, risk averse investors quite often face the dilemma of sacrificing current income for safety of principal. Ames Capital Management Inc. “ACM” is dedicated to finding solutions for clients faced with these prospects. ACM was founded in 2002 with three core principles:

1. Preservation of Capital;
2. Generating Current Income;
3. Growing Wealth

ACM actively manages client portfolios while maintaining a prudent discipline to minimize risk of capital during these volatile and uncertain times. In keeping with this conservative approach, ACM does not employ leverage. ACM seeks to generate current income utilizing various arbitrage strategies. By focusing on companies that are components of the Standard & Poor’s 500 index, clients of ACM know they are invested in many of the most recognized and admired companies in the world. The shares of these companies are extremely liquid. As a result, positions can be exited promptly to minimize capital risk. 

Clients of ACM are invited to open accounts with two well known brokerage firms where ACM has existing relationships: Charles Schwab & Co., Inc. “Schwab”, E*TRADE Securities LLC "E*TRADE", Fidelity and TD Ameritrade. Upon receiving written trading authorization from each client, ACM is responsible for investing a client’s funds. As per each Client Agreement with ACM, each client receives full SIPC insurance protection for their accounts as each client is also a full client of these brokerage firms. Please review each firm’s asset protection policy for more information. Both firms offer high customer service while charging some of the lowest commission rates in the industry.

ACM is prohibited from making any withdrawals from client accounts. Every client account is a Separate Managed Account “SMA” with either Schwab, E*TRADE, Fidelity or TD Ameritrade. Clients are free to withdraw all or any part of the funds in their account at any time after providing ACM and their chosen brokerage firm written notice. There is no lockup period for clients of ACM. ACM is a Registered Investment Advisor licensed by the Florida Office of Financial Regulation.

ACM strongly prefers that it be in a purely performance fee sharing arrangement with clients. ACM will charge "Qualified Clients" 10% of the profits with no management fee. To do so, the SEC requires that these clients meet the test for a "Qualified Client" defined as (i) any natural person or entity that has at least $1 million under management with the Advisor; or (ii) a net worth of at least $2.1 million excluding the primary residence.*

In limited cases, ACM will allow clients who do not meet either test above to open an account and be managed by ACM. These clients will be charged a quarterly management fee of one half of one percent (2% per annum).

*SEC Release # IA-4421 / June 14, 2016

Contact Us

Ames Capital Management Inc.
4419 Samoset Drive
Sarasota, FL 34241

One Scenic Drive
Highlands, NJ 07732
T 941 378 5000
Email:  info@amescapmgmt.com