Caritas Capital, LLC (Charlotte)


Caritas Capital, LLC is an investment adviser to an investment company based in Charlotte. It manages $7.39 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of North Carolina.

Caritas Capital provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Caritas Capital: assets under management

The assets under management (AUM) of Caritas Capital, LLC is $7.39 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 147770% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $7.39 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $7.39 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Caritas Capital, 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 Caritas Capital, LLC

Caritas Capital, LLC is owned by James William Mccarthy. James Andrew Bailey joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Robert Gregory Fontana President & cio 1 Jan 2009 50% - 75% 2909353
Llc M. Jennings Partners Owner 1 Jan 2009 Other 75-2999906
James William Mccarthy Owner 1 Jan 2009 Other 5659193
James Andrew Bailey Chief compliance officer/member 1 Jan 2009 Other 2726041
Marc John Durica Member 1 Jan 2009 Other 2183387
James Andrew Bailey Chief compliance officer 1 Mar 2009 Other 2726041
Marc John Durica Investment advisor 1 Mar 2009 Other 2183387

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Malcolm Jennings Prochaska Owner 1 Jan 2004 75% - 100% 1715456

Based in Charlotte

The principal office where Caritas Capital, LLC performs its advisory services is located at 5950 Fairview Road, Charlotte, NC 28210, 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 704-553-8778 or by fax 704-552-8757. The normal business hours are 8:00am - 5:00pm on Monday - Friday.