Our firm is dedicated to providing individuals and other types of clients with a wide array of financial
planning and investment advisory services. Our firm is a limited liability company formed under the
laws of the State of Oregon in 2022 and has been in business as an investment adviser since that time.
Our firm is owned by JP Financial, Inc. (50%) and DJE Financial, Inc. (50%), which are respectively
owned by Jared Pearson and Daniel Evans.
The purpose of this Brochure is to disclose the conflicts of interest associated with the investment
transactions, compensation, advice provided, and any other matters related to investment decisions
made by our firm or its representatives. As a fiduciary, it is our duty to always act in the client’s best
interest. This is accomplished in part by knowing our client. Our firm has established a service-
oriented advisory practice with open lines of communication for many different types of clients to
help meet their financial goals while remaining sensitive to risk tolerance and time horizons.
Working with clients to understand their investment objectives while educating them about our
process, facilitates the kind of working relationship we value.
Types of Advisory Services Offered
Asset Management:
As part of our Asset Management service, a portfolio is created, consisting of individual stocks, bonds,
exchange traded funds (“ETFs”), options, mutual funds and other public and private securities or
investments. The client’s individual investment strategy is tailored to their specific needs and may
include some or all of the previously mentioned securities. Portfolios will be designed to meet a
particular investment goal, determined to be suitable to the client’s circumstances. Once the appropriate
portfolio has been determined, portfolios are continuously and regularly monitored, and if necessary,
rebalanced based upon the client’s individual needs, stated goals and objectives.
Our firm may utilize the sub-advisory services of a third-party investment advisory firm or individual
advisor to aid in the implementation of an investment portfolio designed by our firm. Before selecting
a firm or individual, our firm will ensure that the chosen party is properly licensed or registered. Our
firm will not offer advice on any specific securities or other investments in connection with this service.
We will provide initial due diligence on third party money managers and ongoing reviews of their
management of client accounts. In order to assist in the selection of a third-party money manager, our
firm will gather client information pertaining to financial situation, investment objectives, and
reasonable restrictions to be imposed upon the management of the account.
To the extent applicable, our firm will periodically review third party money manager reports
provided to the client at least annually. Our firm will contact clients from time to time in order to
review their financial situation and objectives; communicate information to third party money
managers as warranted; and, assist the client in understanding and evaluating the services provided
by the third party money manager. Clients will be expected to notify our firm of any changes in their
financial situation, investment objectives, or account restrictions that could affect their financial
standing.
ADV Part 2A – Firm Brochure Page 5 Strategy Cap LLC
Financial Planning & Consulting:
Our firm provides a variety of stand-alone financial planning and consulting services to clients for
the management of financial resources based upon an analysis of a client’s current situation, goals,
and objectives. Financial planning services will typically involve preparing a financial plan or
rendering a financial consultation for clients based on the client’s financial goals and objectives. This
planning or consulting may encompass Investment Planning, Retirement Planning, Estate Planning,
Charitable Planning, Education Planning, Corporate and Personal Tax Planning, Company/Corporate
Structure, Real Estate Analysis, Mortgage/Debt Analysis, Insurance Analysis, Lines of Credit
Evaluation, Cash Flow Analysis, Philanthropic Planning, Risk Management Analysis, Business
Financial Planning and related Consulting Matters, and
Personal Financial Planning. Our firm may
utilize outside service providers (i.e. paraplanners) to assist with the development of a client’s
financial plan.
Written financial plans or financial consultations rendered to clients usually include general
recommendations for a course of activity or specific actions to be taken by the clients.
Implementation of the recommendations will be at the discretion of the client. Our firm provides
clients with a summary of their financial situation, and observations for financial planning
engagements. Financial consultations are not typically accompanied by a written summary of
observations and recommendations, as the process is less formal than the planning service. Assuming
that all the information and documents requested from the client are provided promptly, plans or
consultations are typically completed/rendered within 6 months of the client signing a contract with
our firm.
Retirement Plan Consulting:
Our firm provides retirement plan consulting services to employer plan sponsors on an ongoing
basis. Generally, such consulting services consist of assisting employer plan sponsors in establishing,
monitoring and reviewing their company's participant-directed retirement plan. As the needs of the
plan sponsor dictate, areas of advising may include:
• Establishing an Investment Policy Statement – Our firm will assist in the development of a
statement that summarizes the investment goals and objectives along with the broad
strategies to be employed to meet the objectives.
• Investment Options – Our firm will work with the Plan Sponsor to evaluate existing
investment options and make recommendations for appropriate changes.
• Asset Allocation and Portfolio Construction – Our firm will develop strategic asset allocation
models to aid Participants in developing strategies to meet their investment objectives, time
horizon, financial situation and tolerance for risk.
• Investment Monitoring – Our firm will monitor the performance of the investments and
notify the client in the event of over/underperformance and in times of market volatility.
• Participant Education – Our firm will provide opportunities to educate plan participants
about their retirement plan offerings, different investment options, and general guidance on
allocation strategies.
In providing services for retirement plan consulting, our firm does not provide any advisory services
with respect to the following types of assets: employer securities, real estate (excluding real estate
funds and publicly traded REITS), participant loans, non-publicly traded securities or assets, other
illiquid investments, or brokerage window programs (collectively, “Excluded Assets”). All retirement
plan consulting services shall be in compliance with the applicable state laws regulating retirement
ADV Part 2A – Firm Brochure Page 6 Strategy Cap LLC
consulting services. This applies to client accounts that are retirement or other employee benefit
plans (“Plan”) governed by the Employee Retirement Income Security Act of 1974, as amended
(“ERISA”). If the client accounts are part of a Plan, and our firm accepts appointment to provide
services to such accounts, our firm acknowledges its fiduciary standard within the meaning of Section
3(21) of ERISA as designated by the Retirement Plan Consulting Agreement with respect to the
provision of services described therein.
Tailoring of Advisory Services
Our firm offers individualized investment advice to our Asset Management clients. General
investment advice will be offered to our Financial Planning & Consulting, Retirement Plan Consulting,
and Referrals to Third Party Money Management clients.
Our firm does not usually allow Asset Management clients to impose restrictions on investing in
certain securities or types of securities due to the level of difficulty this would entail in managing
their account. Exceptions will be made on a case-by-case basis.
Participation in Wrap Fee Programs
Our firm does not offer or sponsor a wrap fee program.
Regulatory Assets Under Management
Our firm manages $48,050,953 on a discretionary basis and $67,767 on a non-discretionary basis as
of December 31, 2022.