1492 Capital Management, Llc
- Regulatory AUM
- $275M
- Discretionary
- $275M
- Clients
- 98
- Avg AUM / client
- $2.8M
- Accounts
- 98
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 11 | $3.8M | 1.37% |
| High net worth individuals | 74 | $154M | 56.0% |
| Charitable organizations | 9 | $32.9M | 12.0% |
| Corporations and other businesses | 4 | $84.2M | 30.7% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Wright, Thomas, D | Limited Partner | Aug 2001 (25y) | 50% – 75% of Rosetta Capital Lp (indirect) | |
| Joseph Anthony Frohna | Managing Member | CFA | Sep 2008 (18y) | 25% – 50% |
| Timothy Terrill Stracka | Managing Member | Sep 2008 (18y) | 10% – 25% | |
| Adam Michael France | Member | CFA | Jan 2010 (17y) | Less than 5% |
| Posner, Henry | Limited Partner | Feb 2012 (15y) | 25% – 50% of Hjp Acquisition, L.P. (indirect) | |
| Posner, James | Limited Partner | Feb 2012 (15y) | 25% – 50% of Hjp Acquisition, L.P. (indirect) | |
| Posner, Paul | Limited Partner | Feb 2012 (15y) | 25% – 50% of Hjp Acquisition, L.P. (indirect) | |
| Daley, Kathleen, A | Chief Compliance Officer/Chief Operations Officer | Jan 2022 (5y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Hawthorne Partners | Member | Sep 2008 | A | 25% – 50% |
| Hjp Acquisition L.P. | General Partner | Feb 2012 | B | ≈ 18.75% – 50% via Hawthorne Partners |
| Hjp Acquisition, Lp | General Partner | Jan 2015 | B | 75% or more of Hawthorne Partners Ii (indirect) |
| Hawthorne Partners Ii | Managing Member | Jan 2015 | B | 75% or more of Hawthorne Wealth Management Holdings, Llc (indirect) |
| Rosetta Capital Partners Lp | General Partner | Aug 2001 | B | ≈ 6.25% – 25% via Hawthorne Partners |
| Blair Oak Investments, Lp | General Partner | Jan 2015 | B | 25% – 50% of Hawthorne Partners Ii (indirect) |
| Rosetta Capital Llc | General Partner | Jun 2001 | B | GP / trustee / elected manager of Rosetta Capital Lp (indirect) |
| Hjp 2011, Llc | General Partner | Feb 2012 | B | GP / trustee / elected manager of Hjp Acquisition, L.P. (indirect) |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Hjp Acquisition L.P.: 75% – 100% of Hawthorne Partners × 25% – 50% direct ≈ 18.75% – 50% of the firm
- Rosetta Capital Partners Lp: 25% – 50% of Hawthorne Partners × 25% – 50% direct ≈ 6.25% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 969 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • A PERCENTAGE OF AUM FROM PERSONS RECEIVING MODEL PORTFOLIOS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Us Bancorp $153M (56% of AUM) Mar 2026
- Bmo Asset Management Corp. $71.5M (41% of AUM) Mar 2023
- BNY Mellon $68.3M (25% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗