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Lock Capital Management, LLC (Ridgefield)


Lock Capital Management, LLC is a related adviser based in Ridgefield. It manages $6.8 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Connecticut.

Lock Capital Management provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lock Capital Management: assets under management

The assets under management (AUM) of Lock Capital Management, LLC is $6.8 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.


The firm manages $6.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.8 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lock Capital Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. 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.

Based in Ridgefield

The principal office where Lock Capital Management, LLC performs its advisory services is located at 440 Main Street, Ridgefield, CT 06877, 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 203-894-8464 or by fax 203-894-8484. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.


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