Invest with 1492
Let Us Help You Navigate the Market
1492 Capital Management, located in Milwaukee, Wisconsin, is a registered investment advisor. We are interested in managing the portfolio assets of our clients using our bottom-up, thematic approach to small cap investing.

We are committed to offering you a positive customer experience with essential services like these:
  • State-of-the-art infrastructure, with an institutional-ready platform that handles multiple custodians and
    makes it easy to monitor accounting and investment performance
  • Access to the portfolio management team
  • Communication on the market and our approach, through monthly newsletters, webcasts
To establish an account with 1492, it is necessary to have a third-party custodial relationship to take custody (i.e. control) of client assets. This division of responsibility offers our clients a high degree of comfort knowing that an independent third party is holding assets.

We will work with a custodian of your choice, or we can recommend a custodian with which we have a relationship and/or with which we have negotiated pricing.The following are custodians with which we currently work:
To establish a custody relationship, you will need one or more of the following:
  • A completed custody agreement
  • A transfer form if securities are being transferred to create the account
  • If the account is an IRA, an IRA adoption form for your current provider

Understanding the Custodian-Investment Firm Relationship
The three-party relationship between 1492 Capital Management, our client and the client’s custodian provides an effective method for delivering results.

Because we do not provide custody, our clients need to have a relationship with a custodian that is a bank trust company or broker/dealer who can hold assets and collect income. Our investment advisory agreement gives us the discretion to make the investment decisions we believe are prudent and our electronic trading platform allows us to communicate those decisions to the brokers who are executing trades on our clients’ behalf and the custodians who are caring for their assets.




Start Investing
To start the investment process, you must also sign an Investment Advisory Agreement with 1492 Capital Management. Click on the links below to learn more about our strategies or to obtain an agreement for the appropriate strategy:

- Small Cap Growth Strategy

- Small Cap Value Strategy

Because we are registered with the Securities Exchange Commission as an Investment Advisory firm we are required to provide you with a copy of our ADV Part II.

Please review this document to learn more about our firm, principals and portfolio management team, as well as the services we provide. Also, please review our Privacy Policy, which provides an understanding of the confidentiality with which we will treat the information regarding your account.

Should you have any questions about this process, please contact us.