{ "crd_number": 153731, "slug": "appomattox-advisory-inc-new-york-ny-153731", "primary_business_name": "APPOMATTOX ADVISORY, INC", "legal_name": "APPOMATTOX ADVISORY, INC", "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": "2010-07-06", "years_registered": 16, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 425626549.0, "raum_discretionary": 68402730.0, "raum_non_discretionary": 357223819.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 6, "advisory_employees": 4, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 7180089.0, "count": 1 }, "high_net_worth_individuals": { "raum": 379396525.0, "count": 14 }, "pooled_investment_vehicles": { "raum": 39049935.0, "count": 7 } }, "compensation_types": [ "fixed", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "CT", "FL", "NJ", "NY" ], "websites": [ "https://appomattox.com", "https://linkedin.com/company/appomattox-advisory-inc" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/153731", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/appomattox-advisory-inc-new-york-ny-153731", "display_name": "Appomattox Advisory, Inc", "summary": "Appomattox Advisory, Inc is an SEC-registered investment advisory firm in New York, NY, registered since 2010, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Appomattox Advisory, Inc (CRD 153731): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Appomattox Advisory, Inc compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Appomattox Advisory, Inc reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees." }, { "q": "Where is Appomattox Advisory, Inc located?", "a": "Appomattox Advisory, Inc's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Appomattox Advisory, Inc registered with the SEC or a state?", "a": "Appomattox Advisory, Inc is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 153731." }, { "q": "How much does Appomattox Advisory, Inc manage?", "a": "Appomattox Advisory, Inc reports $425,626,549 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (16% discretionary)." }, { "q": "How have Appomattox Advisory, Inc's assets and staff changed since 2021?", "a": "In the Form ADV data for Appomattox Advisory, Inc: Regulatory assets under management: $1,415,116,166 in the October 2021 data and $425,626,549 in the October 2026 data, down 70%. Total employees: 13 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Appomattox Advisory, Inc serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (14); pooled investment vehicles (other than investment companies and business development companies) (7); charitable organizations (1)." }, { "q": "Does Appomattox Advisory, Inc report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation) and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/153731" }, { "q": "What changed in Appomattox Advisory, Inc's recent Form ADV filings?", "a": "In the April 2026 filing data: Registered or notice-filed in FL." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1415116166.0, "total_employees": 13, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1279347686.0, "total_employees": 14, "filing_date": "2022-07-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1239563304.0, "total_employees": 12, "filing_date": "2023-09-21" }, { "period": "2024-10-01", "regulatory_assets_under_management": 753860554.0, "total_employees": 8, "filing_date": "2024-03-21" }, { "period": "2025-10-01", "regulatory_assets_under_management": 410823480.0, "total_employees": 6, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 425626549.0, "total_employees": 6, "filing_date": "2026-03-27" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Registered or notice-filed in FL." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in FL." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/appomattox-advisory-inc-new-york-ny-153731.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 14, "fewer_than_5": false, "raum": 379396525.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 7, "fewer_than_5": false, "raum": 39049935.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": false, "raum": 7180089.0 } ], "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.", "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/153731", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }