# Basswood Capital Management, L.L.C.

> Basswood Capital Management, L.L.C. is an SEC-registered investment advisory firm in New York, NY, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 138032
- Filed as: BASSWOOD CAPITAL MANAGEMENT, L.L.C.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/138032
- AdvisorCensus page: https://advisorcensus.com/firm/basswood-capital-management-l-l-c-new-york-ny-138032

## Quick answers

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

**Where is Basswood Capital Management, L.L.C. located?**
Basswood Capital Management, L.L.C.'s principal office is in New York, NY, according to its Form ADV.

**Is Basswood Capital Management, L.L.C. registered with the SEC or a state?**
Basswood Capital Management, L.L.C. is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 138032.

**How much does Basswood Capital Management, L.L.C. manage?**
Basswood Capital Management, L.L.C. reports $2,827,097,469 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Basswood Capital Management, L.L.C.'s assets and staff changed since 2021?**
In the Form ADV data for Basswood Capital Management, L.L.C.: Regulatory assets under management: $1,774,022,249 in the October 2021 data and $2,827,097,469 in the October 2026 data, up 59%. Total employees: 18 in October 2021 and 16 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Basswood Capital Management, L.L.C. serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (11).

**Which custodians does Basswood Capital Management, L.L.C. use?**
Basswood Capital Management, L.L.C.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists J.P. Morgan Securities LLC, Merrill Lynch Professional Clearing Corp. and Morgan Stanley & Co. LLC as custodians holding 10% or more of its separately managed account assets.

**Does Basswood Capital Management, L.L.C. 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/138032

**What changed in Basswood Capital Management, L.L.C.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $2,088,566,186 to $2,827,097,469 (+35%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- J.P. Morgan Securities LLC
- Merrill Lynch Professional Clearing Corp.
- Morgan Stanley & Co. 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: $2,827,097,469
- Discretionary: $2,827,097,469
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 11 | $2,195,443,716 |
| Charitable organizations | Fewer than 5 | $156,008,400 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $456,696,730 |
| Corporations or other businesses not listed above | Fewer than 5 | $18,948,623 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2011 (15 years)
- Employees: 16 total, 9 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [basswoodpartners.com](https://basswoodpartners.com)
- LinkedIn @basswood-capital-management-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,774,022,249 | 18 | September 17, 2021 |
| October 2022 | $2,622,949,320 | 19 | April 29, 2022 |
| October 2023 | $1,971,946,550 | 19 | March 30, 2023 |
| October 2024 | $1,951,000,260 | 17 | March 30, 2024 |
| October 2025 | $2,088,566,186 | 17 | March 31, 2025 |
| October 2026 | $2,827,097,469 | 16 | March 30, 2026 |

Regulatory assets under management: $1,774,022,249 in the October 2021 data and $2,827,097,469 in the October 2026 data, up 59%.
Total employees: 18 in October 2021 and 16 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $2,088,566,186 to $2,827,097,469 (+35%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Basswood Capital Management, L.L.C. (CRD 138032): Form ADV filing data as of October 2026.