Description of our advisory firm, including how long we have been in business and our
principal owner(s).
A. Description of our business
ArbusCM is a fee-only registered investment adviser, providing investment
management services and advice to institutions and individuals in all stages of life.
ArbusCM was established and registered as an investment adviser in October 2008.
Arden Rodgers, CFA is the manager of, and owns 100% of, Arbus Capital
Management, LLC.
B. Description of advisory services we offer
ArbusCM takes a thorough, disciplined and low-cost approach to investing. ArbusCM
generally provides three types of investment services.
The first service is ongoing discretionary investment management of a client’s portfolio.
ArbusCM will provide clients ongoing portfolio management services by determining
individual investment goals, time horizon, risk tolerance, return requirements, liquidity
requirements, tax status, and/or other significant factors. Based on these factors
recommendations will be made regarding investment strategies, asset allocation,
investment selection, portfolio monitoring and the overall investment program as
appropriate.
Client portfolios are primarily constructed from exchange traded funds (ETFs) because
of their low cost, breadth of options, tax efficiency, and other superior investment
characteristics. Stocks, bonds, mutual funds, options, hedge funds, or other investment
vehicles can be utilized if requested by the client or if required to implement a particular
investment plan.
Being a fee-only adviser ArbusCM does not sell annuities, insurance, stocks, bonds,
mutual funds, limited partnerships, or other products that generate sales commissions
for our firm.
Depending upon client needs, investment portfolios can be structured for either the
medium or the long term. This disciplined investment strategy is not altered as the result
of short-term market fluctuations, and no attempt is made to generate profits from
market timing or other short-term trading strategies.
Before investing, all strategies and vehicles are fully explained. Any questions or
concerns are addressed to the satisfaction of the client.
Fees for investment management are based on a percentage of assets under
management. See item 5 below for fee schedule.
The second service is the investment account review service, which consists of a one-
time review of the current client holdings and choices in one or more investment or
retirement accounts such as IRAs, SEP IRAs, 401(k)s, 403(b)s, Keoghs, etc. to
determine the asset allocation investment options based on the client's age, risk
tolerance, retirement income, and overall financial circumstances.
The third service is financial planning, which consists of analyzing client supplied
personal and financial data to attempt to determine if current and future assets and
income will be sufficient to meet projected financial goals and expenses. Recommended
adjustments, if needed, will be provided in areas such as asset allocations, timing of
retirement or expenses, modifications of goals, along with other pros and cons of
possible financial trade-offs. This analysis can be based on many factors such future
income, retirement dates, life expectancy, market returns, inflation rates, tax rates, etc.,
many which can only be estimated or approximated. There is no guarantee that the plan
projections or recommendations will accurately predict future outcomes nor even that
the analysis will encompass all relevant current factors.
The fees for the investment account review service and the financial planning service
are based on an hourly-fee or flat-fee basis. See item 5 below for fee schedule.
C. If, or how, we tailor our advisory services to clients’ individual needs
As an independent adviser, ArbusCM offers unbiased advice to clients based on their
particular needs, goals, and investment profiles. As noted above, discretionary
investment management advice is based on the client’s financial profile, including age,
income, expenses, dependents, current investments, return requirements, risk
tolerance, time horizon, tax and legal considerations, and/or other unique circumstances
as appropriate.
For the investment account review, as much individual information as required is
obtained to make appropriate recommendations based on the scope of the account
review and the client’s particular circumstances
Clients may impose restrictions on investing in certain securities or types of securities,
such as providing a Socially Responsible Investment (SRI) or an Environmental, Social
and Governance (ESG) mandate; requesting exclusion of certain industries (oil,
tobacco, gambling, etc.) or positive mandates such as clean energy.
D. Wrap fee programs
ArbusCM does not participate in wrap fee programs.
E. Amount of assets we manage
As of December 31st, 2023, ArbusCM had $111,458,350 assets under management on
a discretionary basis.