Pro Cap LLC (Wayne)


Pro Cap LLC is a large advisory firm based in Wayne. It manages $25.4 million of regulatory assets for 207 client accounts. It has been registered with the SEC as an adviser since 2001.

Pro Cap provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Pro Cap: assets under management

The assets under management (AUM) of Pro Cap LLC is $25.4 million. The firm's AUM has gone down by -14% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $7.45 million in discretionary accounts and $17.95 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $573.26 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $92.51 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Pro Cap LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Pro Cap LLC

Kenneth S Sweet has been acting as President since 1 Oct 1998. Inc. Safeguard Scientifics joined the executive team most recently as the Member.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Llc Gsa Management Owner 1 Oct 1998 75% - 100% 23-2905409
Kenneth S Sweet Chairman 1 Oct 1998 Other 4450416
Richard James Gessner Executive vice president 1 Oct 1998 Other 1521393
Reginald Wayman Wilkes President 1 Oct 1998 Other 1850425
David Douglas Vermeil Managing director 1 Oct 1998 Other 1363951

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Inc. Safeguard Scientifics Member 1 Dec 1999 25% - 50% 23-1609753

Based in Wayne

The principal office where Pro Cap LLC performs its advisory services is located at 435 Devon Park Dr, Wayne, PA 19087, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 610-293-9151 or by fax 610-293-9179. The normal business hours are 9:00a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.procapllc.com.