Investment Services

Three Circles Capital Management, LLC is a registered investment adviser in the state of Colorado and serves clients throughout the United States. We offer specialized investment vehicles for high net-worth investors and individually managed accounts.

Individual accounts are tailored to meet your goals and risk profile. Depending on the size of the account, the investment strategy may involve utilizing our stock selection methodology or an allocation process among select stock and bond mutual funds and ETFs. Accounts are actively managed and generally reviewed with the client at least annually.

Safe Custody of Your Funds

We have in place a complete and effective system to safeguard your funds. We never take custody of your funds; rather you send your funds directly to a third party custodian. For your individual account, the custodian only releases management fees earned with your advance written approval. You are in effect the "gatekeeper" and no funds can be released without your authorization.

For pooled investment vehicles, an independent third party accounting  firm serves in the role of gatekeeper and such investment vehicles are audited annually by a second independent accounting firm. This system deservedly gives our clients peace of mind over their funds.

Our custodian is Pershing LLC, a subsidiary of The Bank of New York Mellon Corporation. Pershing has served the financial community for over 220 years and is the largest custodian of assets in the United States with approximately $22.3 trillion in assets under custody and administration. Our relationship with the custodian is facilitated through an introducing broker dealer, Converg Ex, LLC.  Converg Ex, LLC is a registered broker-dealer and member of FINRA and SIPC. Converg Ex, LLC is a full service broker dealer that services institutions and retail clients with the latest trading technology, capable of facilitating orders across multiple asset classes.