Founded in 1974, Douglas Capital Management is an independent investment advisory firm located in the
State of Florida. The Company is 100% owned by its principal executives, Christopher Douglas CEO/CIO,
James A. Douglas President CCO and is dedicated to serving each of its clients on an individual basis. It
is registered with the Securities and Exchange Commission as an investment advisor under the
Investment Advisors Act of 1940. Douglas Capital Management provides the highest level of supervision
and investment direction for the portfolios of both institutional and individual investors. Management of
investment portfolios is the only business of Douglas Capital Management, Inc. Douglas Capital
Management does not provide tax advice, or estate planning services. Please consult with your tax
professional, estate planner, or attorney with any tax or estate issues.
Asset Management
The firm's principal service is the management of investment portfolios- specifically Domestic Equity,
Balanced and Intermediate Fixed Income Portfolios. DCM also offers financial planning services where
investments may be made in individual equity and debt securities, as well as ETF’s (exchange-traded
funds) and mutual funds. In addition, investments may also be made in insurance-based vehicles such
as, but not limited to, universal/whole life policies and fixed/variable annuities. Our investment advisory
agreement executed with the client appoints Douglas Capital Management as a fiduciary with discretion
over suitable investments within the guidelines established jointly with the client. Clients may impose
restrictions on investing in certain securities or types of securities. Douglas Capital Management is
retained on a discretionary basis and is authorized to buy and sell securities at its own discretion within
the guidelines of each client’s investment objective. Some clients limit the discretionary authority in terms
of the type or amount of securities to be bought, the maximum concentration in any one company or
industry, the minimum credit quality, or maximum maturities for fixed income securities. For the most part,
Douglas Capital Management has full authority to buy and sell securities and for the placement of its
portfolio business and the amount of commissions paid on transaction. Our asset management services
are individualized and are provided to employee benefit plans, individual retirement accounts,
corporations, trusts, estates, institutions, and high net-worth individual accounts. Each account
is
separate from all others, with no commingling of assets. As of December 31, 2022, Douglas Capital
Management had $252.24 million in Assets Under Management (“AUM”) on a fully discretionary basis.
Comprehensive Financial Planning
We offer comprehensive financial planning services to retail, high-net-worth individuals & participants in
company-sponsored retirement plans on a discretionary basis pursuant to their adopted investment
advisory agreement. Our process is collaborative with clients by leveraging innovative planning tools & is
unique to their personal financial goals & investment objectives. Once a baseline plan is developed, we
thoroughly test the plan & gauge the probability of success, discuss priorities & look at tradeoffs that can
be made to attempt to improve the probability of success. Each plan factors in the client’s risk tolerance,
investment objectives & priorities, income-needs & is reviewed continuously on a periodic basis.
After undergoing our comprehensive financial planning process & adopting a plan, clients with plans are
provided investment management advice unique to their individual goals, risk-tolerance & investment
objectives. In addition to traditional asset management leveraging individual equities, fixed-income
securities & cash/cash-alternatives, clients may be recommended investments in open-end mutual funds,
ETFs, insurance/annuity solutions & separately-managed-accounts based on their recommended asset
allocation & associated net worth. Equity portfolios are managed on a discretionary basis & consist of, but
are not limited to, large-cap domestic stocks. Baskets of securities mentioned above are also managed
on a discretionary basis & consist of, but are not limited, to mutual funds, ETFs, & other investment
products diversified across mid-cap stocks, small-cap stocks, international stocks & fixed income
securities. Alternative investments are available to accredited investors & qualified purchasers that
provide diversification outside of traditional asset classes & consist of, but are not limited to, real estate,
private equity, managed/hedged strategies, & global macro strategies.
Asset Allocation/ Client Consultation
As part of our investment advisory agreement with each client, we may jointly develop an investment
policy guideline statement covering asset allocation, risk-tolerance, investment limitations, as well as
current income needs and anticipated cash distributions. Each account is reviewed for proper asset
allocation, cash flow, equity and fixed income performance and client contact. In addition, the price and
trading volume of each security owned is monitored daily.