Description of Our Firm
Sentara Capital LLC is a Georgia-domiciled limited liability company formed in January of 2012. The firm
is not a subsidiary of, nor does it control, another industry entity. In addition to our 2012 registration as
an investment advisor with the State of Georgia, both the firm and its associates may register or meet
certain exemptions to registration in other jurisdictions in which investment advisory business is
conducted.
Michael Brooks and William Allen are the majority owners and co-managers. Michael Brooks also serves
as Chief Compliance Officer (supervisor). Detailed information about the firm’s principal executives may
be found in their accompanying brochure supplements.
Description of Our Services
To begin, an interview in person or over the telephone is conducted by a representative of our firm to
determine the scope of services to be provided. During or prior to this meeting, you will be provided
with the firm’s current Form ADV Part 2A firm brochure that incorporates its privacy policy (see Item
11), and you will receive a Form ADV Part 2B brochure supplement about your investment advisor
representative who will be assisting you. The firm will also ensure any material conflicts of interest are
disclosed regarding the firm and its associates that might reasonably be expected to impair the
rendering of unbiased and objective advice.
Should you wish to engage our firm, we must first enter into a written agreement; thereafter, discussion
and analysis will be conducted to determine your financial needs, goals, holdings, etc. Depending on the
scope of the engagement, you may be required to provide current copies of the following documents
early in the process:
• Wills, codicils and trusts
• Insurance policies
• Mortgage information
• Tax returns
• Current financial specifics including W-2s or 1099s
• Information on current retirement plans and benefits provided by your employer
• Statements reflecting investments in retirement and non-retirement accounts
• Completed risk profile questionnaires or other forms provided by our firm
Our ability to provide our services depends on access to important information. Accordingly, it is
necessary that you provide us with an adequate level of information and supporting documentation
throughout the term of the engagement, including but not limited to source of funds, income levels,
your (or your legal agent’s) authority to act on behalf of the account, among other information. This
helps us determine the appropriateness of our financial planning or investment strategy for you. It is
important that the information and financial statements you provide are accurate. Our firm may, but is
not obligated to, verify the information you have provided, which will then be used in the financial
planning or investment advisory process.
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It is also very important that you keep us informed on significant changes that may call for an update to
your financial and investment plans. Events such as job changes, retirement, a windfall, marriage or
divorce, or the purchase or sale of a home or business can have a large impact on your circumstances
and needs. We need to be aware of such events, so we can make the adjustments needed to your plan
or advice in order to keep you on track toward your goals.
Financial Planning Services
The firm includes financial planning services as part of our portfolio management services program, or
these services may be provided and charged separately from our portfolio management services
program. Advice may be provided on such subjects as cash flow management, risk management,
education funding, investment planning, retirement strategies, tax and estate planning, or other
specific needs as indicated by the client.
Our consulting services and subsequent recommendations may either be broad-based or more narrowly
focused, as you desire. Note that when our services focus only on certain areas of your interest or need,
your overall financial situation or needs may not be fully addressed due to the limitations you have
established. In all instances involving your engagement, you will retain discretion over implementation
decisions and are free to accept or decline any recommendation. Further, it remains your responsibility
to promptly notify our firm if there is any change in your financial situation or investment objectives for
the purpose of our reviewing, evaluating, or revising previous recommendations and/or services.
Educational Workshops
Associates of Sentara Capital LLC may provide educational workshops on an “as announced” basis for
groups desiring general advice on investments and personal finance. Topics may include issues related
to financial planning, educational and estate planning, retirement strategies, or various other economic
and investment topics. Our workshops are educational in nature and do not involve the sale of
insurance or investment products. Information presented will not be based on any one person’s need
nor do we provide individualized investment advice to attendees during our general sessions.
Portfolio Management Services
Our firm may be engaged to implement the investment strategies that have been recommended to you.
Depending on your risk profile, needs, among other considerations, your portfolio may involve the
employment of one or more investment strategies, and as well as either a broad range or more narrowly
focused choice of investment vehicles, each of which is described in further detail in Item 8 of this
brochure. We do not limit our investment advice to any particular asset class or securities.
Where appropriate, we will assist you in preparing an investment policy statement or similar document
reflecting your investment objectives, time horizon, tolerance and appetite for risk, as well as any
reasonable constraints you may have for your portfolio. Your investment policy statement will be
designed to be specific enough to provide future guidance while allowing flexibility to work with
changing market conditions. Since the investment policy statement, to a large extent, will be a product
of information and data you have provided, you will be responsible for reviewing and providing final
approval of the plan.
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Our firm serves as portfolio manager and your account may be served on a discretionary or non-
discretionary basis (“authority”). The engagement typically includes:
• Risk tolerance profiling
• Social concerns or other account constraints
• Investment strategy development
• Investment policy statement
• Asset allocation
• Asset selection
• Regular portfolio monitoring
Assets Under Management
As of March 7, 2024, the firm had approximately $131,659,879 of reportable client assets under its
management on a discretionary basis.
General Information
We do not provide legal or accounting services. With your consent, we may work with your other
professional advisors to assist with coordination and implementation of recommended strategies. You
should be aware that these other advisors will bill you separately for their services and these fees will be
in addition to those of Sentara Capital LLC.
Our firm will use its best judgment and good faith effort in rendering its services; however, Sentara
Capital LLC cannot warrant or guarantee any particular level of account performance, that your account
will be profitable over time, or that your financial planning goals will be met. Past performance is not
necessarily indicative of future results.
Except as may otherwise be provided by law, we will not be liable to the client, heirs, or assignees for
any loss an account may suffer by reason of an investment decision made or other action taken or
omitted in good faith by him or his firm with that degree of care, skill, prudence and diligence under the
circumstances that a prudent person acting in a fiduciary capacity would use; any loss arising from
adherence to your direction or your attorney-in-fact may provide; any act or failure to act by a service
provider maintaining your investment account.
Federal and state securities laws impose liabilities under certain circumstances on persons who act in
good faith and, therefore, nothing contained in this document shall constitute a waiver of any rights that
you may have under federal and state securities laws.