Klocke Capital Group

What Klocke Capital Group does

Klocke Capital Group, LLC (KCG) is a privately held, fee-only registered investment adviser (RIA) headquartered in Palm Beach, Florida. Founded in 2009 and operating with 1-10 employees, the firm provides customized portfolio management to high-net-worth individuals, families, and institutional investors. The firm is led by Chief Investment Officer Matt Klocke, who heads the Investment Management Committee and oversees all portfolio management activities. KCG emphasizes fiduciary alignment, conflict-free advice, and an 'open platform' of investment options not limited to specific asset classes, product providers, or investment managers.

The firm's core offering is the Enhanced ETF Strategy, a proprietary approach that combines broadly diversified exchange-traded funds with an options overlay. Across three risk-tiered variants — Conservative (deep-in-the-money covered calls for maximum downside protection), Moderate (at-the-money covered calls plus out-of-the-money puts), and Aggressive (out-of-the-money options for maximum capital appreciation potential) — the overlay sells covered calls and put options against ETF, equity, and money market holdings to enhance current income, mute volatility, and provide downside buffers. Additional offerings include Non-discretionary Portfolio Management, the Core Equity Income strategy (hedging techniques for concentrated equity positions), and 401(k) advisory services for plan sponsors.

Klocke Capital Group generates revenue exclusively through an asset-based management fee model, with marginal rates declining as additional assets are invested. The firm does not charge commissions or earn third-party compensation, aligning its interests with long-term client wealth building. Distribution is direct — the firm establishes client relationships without intermediary channels, supported by a newsletter-based marketing approach and the CIO's LinkedIn presence. Interactive Brokers and other registered custodians provide execution and clearing, preserving the firm's operational independence. The firm holds RIA registration and supports ERISA-compliant 401(k) advisory work.

Name

Klocke Capital Group

Legal name

Klocke Capital Group, LLC

Website

https://klockecapital.com

Company type

Private

Founded year

2009

Operating status

Operating

Headcount range

1–10 employees

Short description

Klocke Capital Group is a fee-only registered investment adviser in Palm Beach, Florida, providing customized portfolio management to high-net-worth individuals, families, and institutional investors. Its core offering is a proprietary options overlay ETF strategy available in three risk tiers, plus 401(k) advisory services.

Ownership category

akta.pro rank

Product category

Investment Management

NAICS

Portfolio Management and Investment Advice (523940), Portfolio Management and Investment Advice (52394)

SIC

Investment Advice (6282)

akta.pro primary industry

Fee-Based Advisory (FSAEAAAM)

akta.pro secondary industry

Advisory Portfolio Management (Non-Discretionary) (FSAAABAD)

Keywords

• Registered investment adviser
• Portfolio management services
• ETF investment strategies
• 401(k) advisory services
• Wealth management firm

Headquarters

HQ city

Palm Beach

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Asset-Based Management Fees: Klocke Capital Group operates exclusively on an asset-based management fee model. This is their only source of revenue as a fee-only registered investment adviser. The fee structure is designed to decline as additional assets are invested, aligning the firm's interests with long-term client wealth building. The firm does not receive commissions or any other compensation related to investment processes and has no financial incentive to recommend certain investment options over others.

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels3 records

Core offering

Klocke Capital Group is a fee-only registered investment adviser that provides personalized portfolio management and investment advisory services to high-net-worth individuals, families, and institutional investors. The firm offers three Enhanced ETF strategies (Conservative, Moderate, Aggressive) that combine ETF holdings with a proprietary options overlay of covered calls and puts, alongside Non-discretionary Portfolio Management, a Core Equity Income strategy for concentrated positions, and 401(k) advisory services. All services are delivered on an asset-based fee model with no commissions or conflicts of interest.

Product overview

Klocke Capital Group is a fee-only registered investment adviser offering a unified platform of investment management services. The firm provides three Enhanced ETF strategies (Conservative, Moderate, and Aggressive) that utilize options overlay strategies to enhance income and manage risk, alongside Non-discretionary Portfolio Management, Core Equity Income for concentrated positions, and 401(k) advisory services. All services operate on an asset-based fee model with no conflicts of interest, targeting high-net-worth individuals, families, and institutional investors.

Differentiator

Problem solved

Functional benefit

Products and services

• Conservative Enhanced ETF An investment strategy that seeks maximum downside protection by selling deep-in-the-money covered call options against underlying ETF and equity holdings, designed for income-oriented investors seeking minimal volatility.
• Moderate Enhanced ETF An investment strategy that achieves significant downside protection while generating current income through selling at-the-money covered call options and out-of-the-money put options against underlying ETF, equity, and money market holdings, allowing for some capital appreciation potential.
• Aggressive Enhanced ETF An investment strategy offering minimal downside protection while maximizing capital appreciation potential through selling out-of-the-money covered call and put options against underlying ETF, equity, and money market holdings, with possible additional option-selling strategies.
• Non-discretionary Portfolio Management An investment advisory service in which portfolio trades are discussed with and require client approval before execution, aligned with each client's individual risk/reward preferences and financial objectives.
• Core Equity Income A strategy that manages risk, generates income, and mitigates tax incursions for investors with concentrated equity positions by using hedging techniques to protect the stock while enhancing capital gains preservation within legal insider trading restrictions.
• Discretionary Portfolio Management Disciplined, personalized portfolio management based on each client's risk tolerance, time horizon, and financial objectives, emphasizing asset allocation, due diligence, risk management, regular portfolio reviews, and ongoing fiduciary oversight.
• 401(k) Advisory Services Fee-only advisory services for 401(k) plan sponsors covering cost control, fiduciary liability management, risk management, transparency, investment management, and plan design, with support for ERISA safe harbor compliance.

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

Two partnerships are on record, tiered core and supporting.

• Interactive Brokers, LLCcoreTechnology or IntegrationKlocke Capital Group utilizes Interactive Brokers, LLC as their primary custodian for execution and clearing services. Interactive Brokers is a registered Broker-Dealer, Futures Commission Merchants, and Forex Dealer Member regulated by the SEC, CFTC, and NFA, and is a member of FINRA and other self-regulatory organizations. The firm also utilizes other custodians for execution and clearing services. Interactive Brokers does not endorse or recommend Klocke Capital Group.
• Other CustodianssupportingTechnology or IntegrationKlocke Capital Group utilizes other registered custodians in addition to Interactive Brokers for execution and clearing services. These custodians are registered Broker-Dealers, Futures Commission Merchants, and Forex Dealer Members regulated by the SEC, CFTC, and NFA, and are members of FINRA and other self-regulatory organizations.

Recent moves5 records

Expansion highlights3 records

Broad incumbents

• Creative Planning: Creative Planning is one of the largest independent fee-only RIAs in the U.S., serving HNW individuals and institutions with comprehensive wealth management. It is comparable to Klocke Capital Group as a direct business model peer (fee-only fiduciary RIA targeting HNW clients) but operates at vastly greater scale with national reach and hundreds of advisors.
• Edelman Financial Engines: Edelman Financial Engines is one of the largest independent RIAs, offering investment advisory, financial planning, and 401(k) advisory services to individuals and corporate plans. It is comparable to KCG in fee-only RIA model and 401(k) advisory offering but operates at far greater scale.
• Cerity Partners: Cerity Partners is a national fee-only RIA and wealth management firm serving HNW individuals, families, and institutions with comprehensive advisory services. It is comparable to KCG in fee-only model and multi-segment client base but operates nationally with substantially more resources.
• Fisher Investments: Fisher Investments is a large independent investment adviser managing portfolios for HNW individuals and institutional clients globally. It is comparable to KCG as a fee-based portfolio manager with proprietary investment strategies targeting affluent clients, but at vastly greater scale.
• Carson Wealth: Carson Group (formerly Carson Wealth) is a national wealth management firm providing fee-based investment advisory, financial planning, and 401(k) services through a network of advisor partners. It is comparable to KCG in fee-based RIA services and HNW focus but operates via a multi-advisor partnership model at significantly greater scale.
• Mariner Wealth Advisors: Mariner is a large national fee-based RIA offering investment advisory, financial planning, and family office services to HNW clients. It is comparable to KCG in target market and service model but operates across multiple offices nationally with significantly greater AUM and headcount.

Direct peers

• Buckingham Strategic Wealth: Buckingham is a fee-only RIA providing objective, conflict-free investment advice to HNW individuals and families. It is a direct peer to Klocke Capital Group given the closely aligned fee-only fiduciary model, HNW target segment, and personalized portfolio management approach.
• TrueNorth Advisor Solutions: TrueNorth Advisor Solutions is a fee-only RIA providing portfolio management and financial planning to HNW individuals and business owners. It is a direct peer to Klocke Capital Group in business model (fee-only fiduciary) and target segment (HNW individuals), though operating from a different region.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks6 records

Key highlights7 records

Customer concentration

• Xx.com/KlockeCapital
• Facebookfacebook.com/KlockeCapital

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments1 record

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Klocke Capital Group