Products and Services

Offering Investors Access to IPOs and Regulation A+ Offerings

Cambria’s registered representatives serve the investment needs of individuals, high net-worth families, partnerships, non-profit organizations and institutional clients.  Through our full-service brokerage firm & wealth management group we offer a wide array of investment products and services, including:

Products:

  • Equities- execution of NYSE, NASDAQ, OTC Market & Foreign securities
  • ETF’s & Mutual Funds
  • Fixed Income Investments (Bonds, CD’s, etc.)
  • Options

In addition, Cambria’s investment banking group offers several types of proprietary
investment products exclusive to our clientele, including:

  • New Regulation A+ Offerings
  • PIPEs (Private Investments in Public companies)
  • IPOs (Initial Public Offerings)
  • Secondary Offerings
  • Private Placements
  • Alternative Investments

Services:

  • Brokerage Accounts for Domestic and *International clients
  • Executive Accounts (Company Executives and High Net Worth Individuals)
  • Retirement Accounts (IRA, Roth, Sep, 401k, 403b, Pension Plans, Profit Sharing Plans, Education Savings)
  • Cash, *Option & *Margin Accounts
  • Money Market Accounts (up to $3m FDIC Insured)
  • Institutional & DVP Accounts
  • Fee-based & Commission-based Accounts
  • Wealth Management & Advisory Programs
  • Excellent Trading Execution
  • 144 Restricted & Registration Statement Transactions
  • 10b5-1 Selling Plans- assist in designing & implementing
  • Regular or Cashless Stock Option Exercises
  • ACH Direct Deposit, Debit Card & Check Writing
  • Real-time online account view and quotes with watch lists and alerts
    *International, Option & Margin accounts offered through COR Clearing relationship only.
SALES AND TRADING

Cambria  has access to a large network comprised of over thousands of retail and hundreds of high net-worth investors who invest in growth companies. Cambria has relationships with a variety of different market makers through our clearing firm that help create liquidity in less actively traded markets, which provides timely and efficient execution of transactions in NYSE, NASDAQ, OTC Market and Foreign Securities.

Cambria’s investor clients expect us to be at the forefront of market trends and developments in our focus industries, relying on us to highlight new ideas that are below the radar of larger investment banks. By having an in-depth understanding of our clients’ objectives and expectations, we are able to pinpoint appropriate buyers for a company’s securities under various market conditions.

Other distribution and marketing capabilities include:

  • Dedicated professionals with years of experience selling and trading public U.S. and foreign securities in the primary and secondary markets
  • Ability to place large blocks of securities in a few hands or to achieve broad distribution, as needed
  • Timely and consistent flow of information to the buy-side through company and industry reports, non-deal investor roadshows, e-mail and mailing updates
  • Access to our broad investor base of U.S. and European fund managers, pension and mutual funds, private equity investors, venture capital groups and high net-worth accounts

For additional information please contact your Cambria Registered Representative at 877-226-0477 or clientservices@cambriacapital.com.

WEALTH MANAGEMENT

The Wealth Management Platform of Cambria Capital allows us to conveniently manage customer assets geared towards traditional conservative investments on a fee-based platform.  This was created due to the demand from our existing customers seeking our assistance in managing more of their conservative assets, rather than just advising them on investments into our niche aggressive growth companies.

Large pension plans, endowments and other institutional investors have often entrusted their assets to professional money-management firms. With minimum investment requirements of at least $1 million, the services of these money managers have historically been well out of reach of the average investor.

Cambria’s Wealth Management group offers access to some of the world’s leading asset managers.  As a Cambria client, you can now enjoy the same advantages that were once only offered to institutional type investors in the past with minimum investments as low as $25,000-$250,000.

Our Advisory Programs include:

  • Actively Managed Global ETF Strategy(AMG)
  • Representative as Portfolio Manager (RPM)
  • Separately Managed Accounts (SMA)
  • Multi-Manager Account (MMA)
  • Unified Managed Account (UMA)
  • Mutual Fund Wrap & Exchange Traded Fund Portfolios

For additional information please contact your Cambria Investment Advisor Representative at 877-226-0477 or clientservices@cambriacapital.com.

ADVISORY PROGRAMS

Actively Managed Global ETF Strategy(AMG) 

Cambria acts as the portfolio manager for the Actively Managed Global ETF Strategy (“AMG”). Client accounts will be established on a discretionary basis. The AMG strategy utilizes Exchange Traded Funds (ETFs) to diversify the portfolio holdings. Technical indicators are utilized to determine when a position should be established or liquidated. Based on the account size the allocation could be divided between a 5 holding model and a 10 holding model. No Account Minimums

Representative as Portfolio Manager (RPM)
Your registered Cambria representative will be your Portfolio Manager.  The representative will provide a  full suite of resources to build and manage asset allocation models using stocks, no-load mutual funds and ETFs with strategies as low as a $25,000 investment minimum.

Separate Managed Accounts (SMA)
Offers individual investors with direct access to some of the world’s leading institutional asset managers and lesser know boutique investment managers many of whom were once available exclusively to large institutional investors. Each separate account typically has a minimum investment of $100,000.

Multi-Manager Account (MMA)
Our Multi-Manager Account combines the investment expertise of two or more globally prominent institutional asset managers into a single portfolio. This investment strategy delivers the benefits of a traditional separately managed account in a single fully-diversified portfolio for as little as $250,000.

Unified Managed Account (UMA)
Our Unified Managed Account (UMA) has the ability to combine the investment expertise of globally prominent institutional asset managers, individual mutual funds, bonds and ETFs in a single fully-diversified portfolio for as little as $150,000.

Mutual Fund Wrap & Exchange Traded Fund Portfolios
Mutual Fund Wrap and Exchange Traded Fund (ETF) Solutions offer individual investors an actively managed portfolio comprised of mutual funds and/or ETFs that are carefully selected to fit your investment objectives.  There is access to these actively managed wrap strategies for as low as a $25,000 investment minimum.

For additional information please contact your Cambria Investment Advisor Representative at 877-226-0477 or clientservices@cambriacapital.com.

RETIREMENT SERVICES

Cambria’s experienced advisors work with individuals, business owners and corporations to evaluate your retirement plan needs.  We specialize in assisting you on the right choice for your particular situation and help you achieve your financial goals.  Whether you are implementing a new plan or need help with an existing retirement plan we remain committed to you in the years to come.  We won’t attempt to “fit you in” to a pre-designed benefit plan or package.  Let Cambria’s professional team of advisors customize an individual or employee benefit solution that fits you and/or your people.

We offer highly customizable cost effective solutions with the flexibility to invest in a variety of different products and vehicles out of most retirement account, such as:

  • World leading Asset managers
  • New Regulation A+ Offerings
  • Private Placements, Secondary, PIPEs & IPOs
  • Alternative Investments
  • Mutual Funds & Fixed Income Securities
  • Exchange Traded Funds (ETFs)
  • Individual Stocks
  • Covered calls & non-margin options
  • Money Markets

Retirement Plans for Individuals
The average individual today cannot expect to retire on Social Security alone. It is more important now than ever that investors look for alternative solutions when planning for their retirement.

Cambria offers a wide array of retirement accounts, including:

Traditional IRAs – allow your savings to grow tax deferred and contributions may be tax deductible.  Withdrawals after age 59 1/2 are taxed as ordinary income. Withdrawals prior to age 59 1/2 may incur a 10% IRS penalty as well as income taxes.

Roth IRAs – contributions are not deductible, however your savings grow tax-free and distributions after age 59 1/2 are not taxed. Withdrawals prior to age 59 1/2 may incur a 10% IRS penalty as well as income taxes unless certain conditions are met.

Education Savings – is an account set up to pay the qualified education expenses of a designated beneficiary that is 18 years of age.  Contributions to the account are not deductible, but amounts deposited grown tax free until distributed.

Rollovers – whether you are retired, your employer has changed or terminated their plan you can rollover 100% of your retirement account, such as a 401k into an IRA or another Qualified Retirement Plan with no taxes or penalties.

Self-Directed IRA/Roth/SEP –  A Self-Directed IRA is a retirement account in which you are not limited to stock market based investment choices. You may invest in alternative assets like futures, real estate, private companies, promissory notes, precious metals, timber rights, green energy and other alternative assets.

Retirement Plans for Business Owners & Corporations
Offering a retirement plan can be a powerful tool for business owners and corporations to attract and retain the hardworking people who help make their business successful.  Cambria offers the wide array of retirement plans, including:

Individual 401k Retirement Plan – provides significant advantages to small businesses whose only employee is the owner or the owner and their spouse. This plan offers tax deductible contributions, high and flexible contribution limits and tax deferred growth.

Traditional/Roth 401k Retirement Plan – is generally advantageous for companies with 10 or more employee.  Owners and employees may contribute a specified amount of earned income through either a pretax (Traditional) and/or after tax (Roth) contributions.  This plan offers high and flexible contribution limits and tax deferred growth.

403b Plan – is a retirement plan for certain public schools and tax-exempt organizations.  They offer reduced taxable income through pre-tax contributions and tax deferred earnings on plan contributions.
Pension Plan- is usually a tax exempt retirement plan that allows an employer to make contributions toward a pool of funds set aside for their employees future.  We offer access to both defined benefit and contribution plans.

Profit Sharing Plan – is usually designed to give employees a share in the profits of the employer.  Each employee receives a percentage of the profits based on the company’s earnings.

Traditional IRAs – allow your employees savings to grow tax deferred and contributions may be tax deductible.  Withdrawals after age 59 1/2 are taxed as ordinary income. Withdrawals prior to age 59 1/2 may incur a 10% IRS penalty as well as income taxes.

Roth IRAs – employees contributions are not deductible, however your savings grow tax-free and distributions after age 59 1/2 are not taxed. Withdrawals prior to age 59 1/2 may incur a 10% IRS penalty as well as income taxes unless certain conditions are met.

SEP IRA (Simplified Employer Pension Plan) – allows self employed individuals and small business owners to contribute up to 25% of compensation up to a certain maximum each year.  These plans are 100% employer funded (employees do not contribute). Contributions into a SEP IRA are generally tax deductible and investment earnings in a SEP grow tax deferred. Withdrawals after age 59 1/2 are taxed as ordinary income. Withdrawals prior to age 59 1/2 may incur a 10% IRS penalty as well as income taxes. With a SEP, each eligible employee has their own separate SEP IRA which is then funded by the employer.

Self-Directed IRA/Roth/SEP – A Self-Directed IRA is a retirement account in which you are not limited to stock market based investment choices. You may invest in alternative assets like futures, real estate, private companies, promissory notes, precious metals, timber rights, green energy and other alternative assets.

For additional information please contact your Cambria Registered Representative at 877-226-0477 or clientservices@cambriacapital.com.

ALTERNATIVE INVESTMENTS

Alternative investments provide investors access to investments in a variety of different industries that cannot be accessed through traditional fixed income and equity markets. With interest rates at the lowest level in years, and the stock market decline due to the ongoing economic crisis Alternative Investments are growing in popularity among sophisticated investors. Some investors are seeking alternative investments to potentially generate higher monthly income rather than investing in traditional fixed rate investments with interest returns being so low.  In addition to attractive risk-adjusted return potential, some alternatives offer investors other advantages such as:

  • Diversify portfolios by industry sector & geography
  • Monthly, Quarterly or Annual income to investor
  • Balloon payment, plus principle at maturity
  • Advantageous Tax Benefits
  • Invest out of Retirement or Cash brokerage account(s)

Cambria’s professionals have extensive experience to evaluate, identify and understand different investment structures.  We seek the best performing alternatives and the have  expertise to identify some of the most common red flags such as use of too much leverage, inexperienced management teams and ensure company commitment aligns alongside investors.

We offer a wide array of alternatives, including:

  • Real Estate Funds- DST,1031 Exchange & Private REITS
  • Hedge Funds- access to deep discounted industry portfolios such as receivables, bridge financing, etc.

For additional information please contact your Cambria Registered Representative at 877-226-0477 or clientservices@cambriacapital.com.