{ "crd_number": 150309, "slug": "congress-park-capital-llc-saratoga-springs-ny-150309", "primary_business_name": "CONGRESS PARK CAPITAL LLC", "legal_name": "CONGRESS PARK CAPITAL LLC", "dbas": [], "city": "Saratoga Springs", "state": "NY", "country": "United States", "cbsa_code": "10580", "metro": { "cbsa_code": "10580", "common_name": "Albany", "msa_name": "Albany-Schenectady-Troy, NY", "path": "/advisors/ny/albany" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2009-05-06", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-03-18", "carried_forward": false, "raum_total": 422313266.0, "raum_discretionary": 422313266.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 4, "advisory_employees": 3, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 20924943.0, "count": 83 }, "pension_profit_sharing": { "raum": 18478106.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 382910217.0, "count": 62 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT", "FL", "MA", "NC", "NH", "NY", "PA", "WA" ], "websites": [ "https://congressparkcapital.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/150309", "city_as_filed": "SARATOGA SPRINGS", "url": "https://advisorcensus.com/firm/congress-park-capital-llc-saratoga-springs-ny-150309", "display_name": "Congress Park Capital LLC", "summary": "Congress Park Capital LLC is an SEC-registered investment advisory firm in Saratoga Springs, NY, registered since 2009, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 18, 2026.", "citation": "AdvisorCensus. Congress Park Capital LLC (CRD 150309): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services" ], "quick_answers": [ { "q": "How is Congress Park Capital LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Congress Park Capital LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "Where is Congress Park Capital LLC located?", "a": "Congress Park Capital LLC's principal office is in Saratoga Springs, NY, according to its Form ADV." }, { "q": "Is Congress Park Capital LLC registered with the SEC or a state?", "a": "Congress Park Capital LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 150309." }, { "q": "How much does Congress Park Capital LLC manage?", "a": "Congress Park Capital LLC reports $422,313,266 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (100% discretionary)." }, { "q": "How have Congress Park Capital LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Congress Park Capital LLC: Regulatory assets under management: $256,583,170 in the October 2021 data and $422,313,266 in the October 2026 data, up 65%. Total employees: 3 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Congress Park Capital LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (83); high net worth individuals (62)." }, { "q": "Which custodians does Congress Park Capital LLC use?", "a": "Congress Park Capital LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Congress Park Capital LLC 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/150309" }, { "q": "Does Congress Park Capital LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 18, 2026 says: \"Our firm does not require any minimum account balances.\"" }, { "q": "What changed in Congress Park Capital LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $366,480,628 to $422,313,266 (+15%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 256583170.0, "total_employees": 3, "filing_date": "2021-04-19" }, { "period": "2022-10-01", "regulatory_assets_under_management": 289534116.0, "total_employees": 3, "filing_date": "2022-03-23" }, { "period": "2023-10-01", "regulatory_assets_under_management": 240821678.0, "total_employees": 3, "filing_date": "2023-02-14" }, { "period": "2024-10-01", "regulatory_assets_under_management": 295989793.0, "total_employees": 3, "filing_date": "2024-04-23" }, { "period": "2025-10-01", "regulatory_assets_under_management": 366480628.0, "total_employees": 4, "filing_date": "2025-03-04" }, { "period": "2026-10-01", "regulatory_assets_under_management": 422313266.0, "total_employees": 4, "filing_date": "2026-03-18" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $366,480,628 to $422,313,266 (+15%)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 18, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "Our firm does not require any minimum account balances." ] } ], "quotes": [ "Our firm does not require any minimum account balances." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/congress-park-capital-llc-saratoga-springs-ny-150309.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 83, "fewer_than_5": false, "raum": 20924943.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 62, "fewer_than_5": false, "raum": 382910217.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 18478106.0 } ], "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/150309", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }