# 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.

- CRD: 341112
- Filed as: 2201 CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: June 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/341112
- AdvisorCensus page: https://advisorcensus.com/firm/2201-capital-llc-new-york-ny-341112

## Quick answers

**How 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.

**How much does 2201 Capital, LLC charge?**
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

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated June 30, 2026)

- Asset-based fee: 1.25% of assets a year

> 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

> There is no account minimum for any of 2201 Capital’s services.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $40,000,000
- Discretionary: $40,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 5 | $40,000,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2026 (0 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, MA, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the July 2026 filing
- Boston, MA
- Scottsdale, AZ

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. 2201 Capital, LLC (CRD 341112): Form ADV filing data as of October 2026.