{ "crd_number": 153540, "slug": "ams-capital-management-llc-san-mateo-ca-153540", "primary_business_name": "AMS CAPITAL MANAGEMENT LLC", "legal_name": "AMS CAPITAL MANAGEMENT LLC", "dbas": [], "city": "San Mateo", "state": "CA", "country": "United States", "cbsa_code": "41860", "metro": { "cbsa_code": "41860", "common_name": "San Francisco", "msa_name": "San Francisco-Oakland-Fremont, CA", "path": "/advisors/ca/san-francisco" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2011-03-07", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-03-17", "carried_forward": false, "raum_total": 39125000.0, "raum_discretionary": 0.0, "raum_non_discretionary": 39125000.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other": { "raum": 0.0, "count": 0 }, "charitable": { "raum": 0.0, "count": 0 }, "individuals": { "raum": 16435000.0, "count": 51 }, "banking_thrift": { "raum": 0.0, "count": 0 }, "state_municipal": { "raum": 0.0, "count": 0 }, "insurance_companies": { "raum": 0.0, "count": 0 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 3202000.0, "count": 2, "fewer_than_5": true }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 19400000.0, "count": 9 }, "pooled_investment_vehicles": { "raum": 0.0, "count": 0 }, "corporations_other_businesses": { "raum": 88000.0, "count": 1, "fewer_than_5": true }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 0.0, "count": 0 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "other", "pension_consulting", "periodicals_newsletters", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "CA" ], "websites": [ "https://amscapitalmanagement.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153540", "disclosure_items": [ { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" } ], "city_as_filed": "SAN MATEO", "url": "https://advisorcensus.com/firm/ams-capital-management-llc-san-mateo-ca-153540", "display_name": "AMS Capital Management LLC", "summary": "AMS Capital Management LLC is a state-registered investment advisory firm in San Mateo, CA, registered since 2011, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 17, 2026.", "citation": "AdvisorCensus. AMS Capital Management LLC (CRD 153540): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Publication of periodicals or newsletters", "Other" ], "quick_answers": [ { "q": "How is AMS Capital Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), AMS Capital Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is AMS Capital Management LLC located?", "a": "AMS Capital Management LLC's principal office is in San Mateo, CA, according to its Form ADV." }, { "q": "Is AMS Capital Management LLC registered with the SEC or a state?", "a": "AMS Capital Management LLC is a state-registered investment advisory firm, registered since 2011. Status as filed: APPROVED. CRD 153540." }, { "q": "How much does AMS Capital Management LLC manage?", "a": "AMS Capital Management LLC reports $39,125,000 in regulatory assets under management in its Form ADV filing dated March 17, 2026 (0% discretionary)." }, { "q": "What types of clients does AMS Capital Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (51); high net worth individuals (9); pension and profit sharing plans (but not the plan participants or government pension plans) (2)." }, { "q": "Does AMS Capital Management LLC report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/153540" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/ams-capital-management-llc-san-mateo-ca-153540.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 51, "fewer_than_5": false, "raum": 16435000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 9, "fewer_than_5": false, "raum": 19400000.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "business_development_companies", "label": "Business development companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 2, "fewer_than_5": true, "raum": 3202000.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1, "fewer_than_5": true, "raum": 88000.0 }, { "type": "other", "label": "Other", "count": 0, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153540", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }