Overview
A. Description of the Advisory Firm
Metis Capital Management LLC ("MCM") provides discretionary and non-discretionary
investment management services. It is established as a Limited Liability Corporation in the state
of New York, whose fiscal year end is December 31. It is 100% owned by Grant Rogers, and has
been operating since November of 2004.
B. Types of Advisory Services
Metis Capital Management’s mission is to conservatively run individually managed accounts,
which are in the client’s name, tailored to the needs, objectives, and risk tolerance level of the
client. Our role is to remain aware of client’s circumstances in order to direct, or make investment
recommendations, which are suitable for the client, in equities, fixed income instruments,
commodities, and currencies.
We primarily manage balanced growth portfolios in a conservative fashion.
Growth and balanced growth investment management focuses primarily upon the identification
and purchase of stocks experiencing or expected to experience accelerated earnings momentum.
Such stocks are often referred to as growth stocks and, hence, the firm's investment style is that of
an "active investment manager with a growth stock bias."
Investments are not limited to stocks of certain levels of capitalization, but span the range from
small to medium, to large, with the emphasis at any given time placed on those areas deemed
most value attractive.
A conservative approach to bond management is employed.
Bond portfolio durations are targeted
using economic analysis and interest rate forecasts.
Information derived from further research will cause sector, coupon and quality weightings to
vary according to expected opportunities and risks.
C. Client Tailored Services and Client Imposed Restrictions
Our firm provides continuous advice to clients regarding investment of client funds based upon
their individual objectives. At the outset of a relationship a client is asked to define objectives and
constraints while we provide information about investment opportunities and expectations. From
these discussions a portfolio is developed which will attempt to meet the client’s needs and
against which performance can be measured.
During our data-gathering process, we determine the client's individual objectives, time
horizons, risk tolerance, and liquidity needs. We may also review and discuss a client's
prior investment history, tax situation, and estate plan in order to increase our awareness of the
client’s needs.
In certain cases, clients may object to investing in certain industries or asset classes. In these
cases, we do our utmost to observe the client’s wishes. If a client imposes an outright restriction
concerning certain types of investment, we observe it.
D. Wrap Fee Programs
Metis Capital Management does not participate in Wrap Fee Programs.
E. Amounts Under Management
Total
Amount:
Discretionary
Amounts:
Non-discretionary
Amounts:
Date Calculated:
$40,827,106 $40,827,106 $0 12/31/22