Data / Investment advisers / New York / Appomattox Advisory, Inc
Appomattox Advisory, Inc, New York, NY: $426 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Appomattox Advisory, Inc is an SEC registered investment adviser with its main office in New York, New York and reports $426 million in regulatory assets under management in its Form ADV filed March 27, 2026. Its clients include high net worth individuals, pooled investment vehicles and charitable organizations. It is paid through a percentage of assets under management, fixed fees and performance based fees. It advises 7 private funds.
The request: Watch Appomattox Advisory, Inc (CRD number 153731): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- Registration
- SEC registered investment adviser
- CRD number
- 153731
- SEC file number
- 801-71652
- SEC status
- Approved, effective July 6, 2010
- Main office
- 551 5th Ave 26th Floor, New York, NY 10176
- Phone
- (212) 895-3000
- Website
- appomattox.com
- Regulatory AUM
- $425,626,549 in the Form ADV filed March 27, 2026
- Discretionary AUM
- $68,402,730
- Non discretionary AUM
- $357,223,819
- Accounts
- 22
- Employees
- 6, of which 4 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, fixed fees, performance based fees
- Private funds
- 7: 4 private equity funds, 3 hedge funds
- Gross assets of private funds
- $67,815,988
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions
- Latest Form ADV filing
- March 27, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 14 | $379.4 million |
| Pooled investment vehicles | 7 | $39 million |
| Charitable organizations | 1 | $7.2 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $425.6 million | March 27, 2026 |
| December 1, 2025 | $410.8 million | March 27, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Radian Investment Management LLC | New York | $428.9 million | Not listed | adviserinfo.sec.gov |
| Coalescence Partners Investment Management LP | New York | $428.4 million | 4 | adviserinfo.sec.gov |
| CP Capital (US) Partners LP | New York | $426.9 million | 4 | adviserinfo.sec.gov |
| Hep Management Corporation | New York | $426.6 million | 3 | adviserinfo.sec.gov |
| Abr Dynamic Funds, LLC | New York | $426.2 million | 2 | adviserinfo.sec.gov |
| Cip Capital | New York | $425.6 million | 3 | adviserinfo.sec.gov |
| Blackdiamond Wealth Management, LLC | New York | $424 million | Not listed | adviserinfo.sec.gov |
| Apollo S3 Ric Management, L.P. | New York | $423.8 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving pooled investment vehicles
- Advisers that manage private funds
- Appomattox Advisory, Inc on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.