AdvisorCensus / Financial advisors / New York / New York / 2201 Capital, LLC
2201 Capital, LLC
Filed as 2201 CAPITAL, LLC
2201 Capital, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2026, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated June 30, 2026.
Quick answers
From the filingHow is 2201 Capital, LLC compensated?
On its Form ADV (Item 5.E, October 2026), 2201 Capital, LLC reports these compensation arrangements: a percentage of assets under its management.
What does 2201 Capital, LLC's brochure say about its fees?
Its Form ADV Part 2A brochure dated June 30, 2026 states: Asset-based fee: 1.25% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is 2201 Capital, LLC located?
2201 Capital, LLC's principal office is in New York, NY, according to its Form ADV; the July 2026 filing also lists 2 other offices (Schedule D, Section 1.F).
Is 2201 Capital, LLC registered with the SEC or a state?
2201 Capital, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 341112.
How much does 2201 Capital, LLC manage?
2201 Capital, LLC reports $40,000,000 in regulatory assets under management in its Form ADV filing dated June 30, 2026 (100% discretionary).
What types of clients does 2201 Capital, LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (5).
Which custodians does 2201 Capital, LLC use?
2201 Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does 2201 Capital, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/341112
Does 2201 Capital, LLC state an account minimum?
Its Form ADV Part 2A brochure dated June 30, 2026 says: "There is no account minimum for any of 2201 Capital’s services."
What changed in 2201 Capital, LLC's recent Form ADV filings?
In the July 2026 filing data: Regulatory assets under management went from $0 to $40,000,000. Added an office in Boston, MA. Registered or notice-filed in NY.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 1.25% of assets a year
The brochure's wording
Total Assets Under Management Annual Fees All Assets 1.25%
These fees are generally negotiable and the final fee schedule will be memorialized in the client’s advisory agreement.
Account minimum: None
The brochure's wording
There is no account minimum for any of 2201 Capital’s services.
As stated in the firm's Form ADV Part 2A brochure dated June 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$40,000,000 as of October 2026, filing dated June 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- Other offices (Schedule D, Section 1.F)
-
2 other offices, as of the July 2026 filing
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- July 2026
- Regulatory assets under management went from $0 to $40,000,000.
- Added an office in Boston, MA.
- Registered or notice-filed in NY.
- April 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. 2201 Capital, LLC (CRD 341112): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/2201-capital-llc-new-york-ny-341112