{
  "crd_number": 341112,
  "slug": "2201-capital-llc-new-york-ny-341112",
  "primary_business_name": "2201 CAPITAL, LLC",
  "legal_name": "2201 CAPITAL, LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2026-02-27",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-06-30",
  "carried_forward": false,
  "raum_total": 40000000.0,
  "raum_discretionary": 40000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 3,
  "advisory_employees": 2,
  "client_count_bucket": null,
  "clients_by_type": {
    "high_net_worth_individuals": {
      "raum": 40000000.0,
      "count": 5
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "MA",
    "NY"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/341112",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/2201-capital-llc-new-york-ny-341112",
  "display_name": "2201 Capital, LLC",
  "summary": "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.",
  "citation": "AdvisorCensus. 2201 Capital, LLC (CRD 341112): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is 2201 Capital, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), 2201 Capital, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does 2201 Capital, LLC charge?",
      "a": "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."
    },
    {
      "q": "Where is 2201 Capital, LLC located?",
      "a": "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)."
    },
    {
      "q": "Is 2201 Capital, LLC registered with the SEC or a state?",
      "a": "2201 Capital, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 341112."
    },
    {
      "q": "How much does 2201 Capital, LLC manage?",
      "a": "2201 Capital, LLC reports $40,000,000 in regulatory assets under management in its Form ADV filing dated June 30, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does 2201 Capital, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (5)."
    },
    {
      "q": "Which custodians does 2201 Capital, LLC use?",
      "a": "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."
    },
    {
      "q": "Does 2201 Capital, LLC report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "Does 2201 Capital, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated June 30, 2026 says: \"There is no account minimum for any of 2201 Capital’s services.\""
    },
    {
      "q": "What changed in 2201 Capital, LLC's recent Form ADV filings?",
      "a": "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."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Regulatory assets under management went from $0 to $40,000,000.",
        "Added an office in Boston, MA.",
        "Registered or notice-filed in NY."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": "1.25% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1.25% of assets a year"
        ],
        "quotes": [
          "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."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is no account minimum for any of 2201 Capital’s services."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": null,
          "max": null,
          "rate_pct": 1.25
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "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.",
      "There is no account minimum for any of 2201 Capital’s services."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/2201-capital-llc-new-york-ny-341112.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 5,
      "fewer_than_5": false,
      "raum": 40000000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/341112",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}