# Arlen Capital, LLC

> Arlen Capital, LLC is an SEC-registered investment advisory firm in Warwick, RI, registered since 2004, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 26, 2026.

- CRD: 118113
- Filed as: ARLEN CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Warwick, RI
- Filing period: October 2026
- Form ADV filing dated: February 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/118113
- AdvisorCensus page: https://advisorcensus.com/firm/arlen-capital-llc-warwick-ri-118113

## Quick answers

**How is Arlen Capital, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Arlen Capital, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Arlen Capital, LLC located?**
Arlen Capital, LLC's principal office is in Warwick, RI, according to its Form ADV.

**Is Arlen Capital, LLC registered with the SEC or a state?**
Arlen Capital, LLC is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 118113.

**How much does Arlen Capital, LLC manage?**
Arlen Capital, LLC reports $348,820,421 in regulatory assets under management in its Form ADV filing dated February 26, 2026 (99% discretionary).

**How have Arlen Capital, LLC's assets and staff changed since 2021?**
In the Form ADV data for Arlen Capital, LLC: Regulatory assets under management: $278,453,849 in the October 2021 data and $348,820,421 in the October 2026 data, up 25%. Total employees: 5 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 Arlen Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (139); high net worth individuals (83).

**Which custodians does Arlen Capital, LLC use?**
Arlen Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC and Pershing LLC as custodians holding 10% or more of its separately managed account assets.

**Does Arlen 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/118113

**What changed in Arlen Capital, LLC's recent Form ADV filings?**
In the March 2026 filing data: Employees performing advisory functions went from 5 to 4.

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services LLC
- Pershing LLC

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: $348,820,421
- Discretionary: $346,416,598
- Non-discretionary: $2,403,823

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 139 | $57,087,550 |
| High net worth individuals | 83 | $287,447,097 |
| Charitable organizations | Fewer than 5 | $844,196 |
| Corporations or other businesses not listed above | Fewer than 5 | $3,441,578 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2004 (22 years)
- Employees: 6 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, FL, LA, MA, NC, NH, NY, RI, SC, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- arlencorp.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $278,453,849 | 5 | March 5, 2021 |
| October 2022 | $323,674,572 | 5 | March 1, 2022 |
| October 2023 | $284,909,510 | 5 | July 28, 2023 |
| October 2024 | $306,872,815 | 5 | February 8, 2024 |
| October 2025 | $331,251,085 | 5 | February 25, 2025 |
| October 2026 | $348,820,421 | 6 | February 26, 2026 |

Regulatory assets under management: $278,453,849 in the October 2021 data and $348,820,421 in the October 2026 data, up 25%.
Total employees: 5 in October 2021 and 6 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Employees performing advisory functions went from 5 to 4.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Arlen Capital, LLC (CRD 118113): Form ADV filing data as of October 2026.