Business Description

McClurg Capital provides small to midsized investors premium investment management. The firm offers investors a broad range of options designed for the most conservative clientele looking for secure income to the more aggressive investor seeking growth. Many clients choose a combination of both. But the most important ingredients we bring to our client relationships are TRUST, ACCOUNTABILITY, and PERFORMANCE.

DISCIPLINED INVESTMENT MANAGEMENT

Serious investors frequently wish to diversify their investments with different categories of securities, i.e. stocks , bonds, real estate, CD's, and mutual funds. Asset allocation among classes increases diversification and helps us manage risk for you.

Clients may choose specific portfolio types or allocate a blend--all within one account. Each portfolio is structured for your individual circumstances.

PERFORMANCE MEASUREMENT AND BENCHMARK COMPARISONS

"Keeping score" so that you know that you are getting your money's worth. And you can accurately compare your investment results with popular indexes or other investment managers.

PROFESSIONAL QUARTERLY REPORTS

Keeping you informed with independently prepared, third party reports. Reports are compliant with the standards of the Association of Investment Management & Research (AIMR). Reports include CPA-ready dividend, interest, and tax lot accounting.

TAX MANAGEMENT

Taxes can have an enormous impact of your returns. McClurg Capital "brings home the bacon" with year-end tax planning and strategies.

SECURITY

Feel secure with third party, independent custody of your securities at the Bank of New York Mellon/Pershing, plus unlimited account protection through a combination of SIPC coverage and private insurance. See SIPC.org for details of coverage.

General Information

Gender:

Male

CRD#:

325690

Firm CRD#:

16798

SEC File#:

801-29387

Name of Broker/Dealer:

McClurg Capital Corporation

Name of Custodial Firm:

Bank of New York Mellon / Pershing

States Licensed in:

CA, FL, HI, MO, NM, NV, WA

States Willing to do Business in:

ALL

Years of Experience in Financial Services:

Number of Years with Current Firm:

Work Experience:

Trained in 1973 at Merrill Lynch, One Liberty Plaza, New York, N.Y.

Licensed as general securities principal, municipal securities principal, registered options principal, registered investment advisor.

New York Stock Exchange Member branch manager 1977 through 1985.

Founded McClurg Capital in 1985, a FINRA/NASD broker/dealer and Registered Investment Advisory firm.

I work with the following types of clients:

Individual Investors, Non-Profit Organizations, Businesses, Endowments

Education

Academic Background

Bachelor of Arts degree - California State University at Sacramento

University of Santa Clara - Leavey Graduate School of Business

Services

Investment Types:

Options, Exchange Traded Funds (ETFs), Mutual Funds, Stocks, Bonds

Qualifications & Memberships

Certifications, Accreditations & Designations:

Registered Investment Advisor

Securities Licenses:

Series 65, Series 24, Series 7, Series 6

Financial Organization Memberships:

Finacial Industry Regulatory Authority (FINRA)

Firm Information

Number of Advisors in Office:

10 - 99 employees

I work with clients as part of a team:

Yes

Firm's Number of Clients:

2000

Advisor's Number of Clients:

175

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$100000

Compensation Methods:

Based on Assets

Fee % Based on Assets:

Additional Details on Charges:

ASSETS UNDER MANAGEMENT
First $100,000-250,000 1.25%
Next $250,001-500,000 0.99%
Nexr $500,001-1,000,000 0.89%
Next $1,000,001-2.000,000 0.79%
Next $2,000,001-4,000,000 0.69%
Over $4,000,000 0.59%

Prepared By:

David McClurg