# Arete Capital Management

> Arete Capital Management is a state-registered investment advisory firm, registered since 2003, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.

- CRD: 124559
- Filed as: ARETE CAPITAL MANAGEMENT
- Legal name: Arete Capital Management Inc
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/124559
- AdvisorCensus page: https://advisorcensus.com/firm/arete-capital-management-124559

## Quick answers

**How is Arete Capital Management compensated?**
On its Form ADV (Item 5.E, October 2026), Arete Capital Management reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Arete Capital Management registered with the SEC or a state?**
Arete Capital Management is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 124559.

**How much does Arete Capital Management manage?**
Arete Capital Management reports $25,100,000 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (93% discretionary).

**What types of clients does Arete Capital Management serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (28).

**Does Arete Capital Management report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/124559

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $25,100,000
- Discretionary: $23,400,000
- Non-discretionary: $1,700,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 28 | $25,100,000 |

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

### Firm details
- Registered since: 2003 (23 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, VA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/124559

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Arete Capital Management (CRD 124559): Form ADV filing data as of October 2026.