# Appomattox Advisory, Inc

> 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.

- CRD: 153731
- Filed as: APPOMATTOX ADVISORY, INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/153731
- AdvisorCensus page: https://advisorcensus.com/firm/appomattox-advisory-inc-new-york-ny-153731

## Quick answers

**How is Appomattox Advisory, Inc compensated?**
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.

**Where is Appomattox Advisory, Inc located?**
Appomattox Advisory, Inc's principal office is in New York, NY, according to its Form ADV.

**Is Appomattox Advisory, Inc registered with the SEC or a state?**
Appomattox Advisory, Inc is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 153731.

**How much does Appomattox Advisory, Inc manage?**
Appomattox Advisory, Inc reports $425,626,549 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (16% discretionary).

**How have Appomattox Advisory, Inc's assets and staff changed since 2021?**
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.

**What types of clients does Appomattox Advisory, Inc serve?**
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).

**Does Appomattox Advisory, Inc report any disciplinary disclosures?**
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

**What changed in Appomattox Advisory, Inc's recent Form ADV filings?**
In the April 2026 filing data: Registered or notice-filed in FL.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $425,626,549
- Discretionary: $68,402,730
- Non-discretionary: $357,223,819

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 14 | $379,396,525 |
| Pooled investment vehicles (other than investment companies and business development companies) | 7 | $39,049,935 |
| Charitable organizations | 1 | $7,180,089 |

### Advisory services (Item 5.G)
- 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)

### Firm details
- Registered since: 2010 (16 years)
- Employees: 6 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, NJ, NY
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/153731

### Websites listed on Form ADV (Item 1.I)
- appomattox.com
- LinkedIn @appomattox-advisory-inc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,415,116,166 | 13 | March 31, 2021 |
| October 2022 | $1,279,347,686 | 14 | July 29, 2022 |
| October 2023 | $1,239,563,304 | 12 | September 21, 2023 |
| October 2024 | $753,860,554 | 8 | March 21, 2024 |
| October 2025 | $410,823,480 | 6 | March 27, 2025 |
| October 2026 | $425,626,549 | 6 | March 27, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Registered or notice-filed in FL.

### January 2026
- No longer registered or notice-filed in FL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Appomattox Advisory, Inc (CRD 153731): Form ADV filing data as of October 2026.