{ "crd_number": 226779, "slug": "cornell-capital-new-york-ny-226779", "primary_business_name": "CORNELL CAPITAL", "legal_name": "CORNELL CAPITAL LLC", "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": "2015-06-02", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-03-27", "carried_forward": false, "raum_total": 5380768988.0, "raum_discretionary": 5380768988.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 26, "advisory_employees": 19, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 5380768988.0, "count": 20 } }, "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://cornellcapllc.com", "https://facebook.com/cornellcapllc", "https://linkedin.com/COMPANY/CORNELLCAPLLC", "https://twitter.com/cornellcapllc?lang=en" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/226779", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/cornell-capital-new-york-ny-226779", "display_name": "Cornell Capital", "summary": "Cornell Capital is an SEC-registered investment advisory firm in New York, NY, registered since 2015, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 27, 2026.", "citation": "AdvisorCensus. Cornell Capital (CRD 226779): 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 Cornell Capital compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Cornell Capital reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "Where is Cornell Capital located?", "a": "Cornell Capital's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Cornell Capital registered with the SEC or a state?", "a": "Cornell Capital is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 226779." }, { "q": "How much does Cornell Capital manage?", "a": "Cornell Capital reports $5,380,768,988 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (100% discretionary)." }, { "q": "How have Cornell Capital's assets and staff changed since 2021?", "a": "In the Form ADV data for Cornell Capital: Regulatory assets under management: $4,636,577,568 in the October 2021 data and $5,380,768,988 in the October 2026 data, up 16%. Total employees: 26 in October 2021 and 26 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Cornell Capital serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (20)." }, { "q": "Does Cornell Capital 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/226779" }, { "q": "What changed in Cornell Capital's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 24 to 19." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 4636577568.0, "total_employees": 26, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 6083826600.0, "total_employees": 28, "filing_date": "2022-05-19" }, { "period": "2023-10-01", "regulatory_assets_under_management": 6681754809.0, "total_employees": 32, "filing_date": "2023-04-28" }, { "period": "2024-10-01", "regulatory_assets_under_management": 5950709255.0, "total_employees": 34, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 5264128391.0, "total_employees": 31, "filing_date": "2025-04-30" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5380768988.0, "total_employees": 26, "filing_date": "2026-03-27" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 24 to 19." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/cornell-capital-new-york-ny-226779.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 20, "fewer_than_5": false, "raum": 5380768988.0 } ], "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/226779", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }