{ "crd_number": 328387, "slug": "charter-oak-advisors-lp-new-york-ny-328387", "primary_business_name": "CHARTER OAK ADVISORS LP", "legal_name": "CHARTER OAK ADVISORS LP", "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": "2024-03-08", "years_registered": 2, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 403922461.0, "raum_discretionary": 403922461.0, "raum_non_discretionary": 0.0, "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": { "pooled_investment_vehicles": { "raum": 403922461.0, "count": 5 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "NY" ], "websites": [ "https://charteroakadvisors.com", "https://linkedin.com/company/charter-oak-advisors-lp" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/328387", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/charter-oak-advisors-lp-new-york-ny-328387", "display_name": "Charter Oak Advisors LP", "summary": "Charter Oak Advisors LP is an SEC-registered investment advisory firm in New York, NY, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Charter Oak Advisors LP (CRD 328387): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Charter Oak Advisors LP compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Charter Oak Advisors LP reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "Where is Charter Oak Advisors LP located?", "a": "Charter Oak Advisors LP's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Charter Oak Advisors LP registered with the SEC or a state?", "a": "Charter Oak Advisors LP is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 328387." }, { "q": "How much does Charter Oak Advisors LP manage?", "a": "Charter Oak Advisors LP reports $403,922,461 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Charter Oak Advisors LP's assets and staff changed since 2024?", "a": "In the Form ADV data for Charter Oak Advisors LP: Regulatory assets under management: $225,669,134 in the October 2024 data and $403,922,461 in the October 2026 data, up 79%. Total employees: 7 in October 2024 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 Charter Oak Advisors LP serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (5)." }, { "q": "Does Charter Oak Advisors LP report any disciplinary disclosures?", "a": "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/328387" }, { "q": "What changed in Charter Oak Advisors LP's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 5 to 4. Regulatory assets under management went from $315,013,000 to $403,922,461 (+28%)." } ], "filing_history": [ { "period": "2024-10-01", "regulatory_assets_under_management": 225669134.0, "total_employees": 7, "filing_date": "2024-06-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 315013000.0, "total_employees": 7, "filing_date": "2025-06-30" }, { "period": "2026-10-01", "regulatory_assets_under_management": 403922461.0, "total_employees": 6, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 5 to 4.", "Regulatory assets under management went from $315,013,000 to $403,922,461 (+28%)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/charter-oak-advisors-lp-new-york-ny-328387.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 5, "fewer_than_5": false, "raum": 403922461.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/328387", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }