{
  "crd_number": 304570,
  "slug": "esoterica-capital-llc-304570",
  "primary_business_name": "ESOTERICA CAPITAL LLC",
  "legal_name": "ESOTERICA CAPITAL LLC",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2019-11-14",
  "years_registered": 6,
  "period": "2026-10-01",
  "filing_date": "2026-02-04",
  "carried_forward": false,
  "raum_total": 43428492.0,
  "raum_discretionary": 43428492.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 5,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 21659965.0,
      "count": 1,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 21768527.0,
      "count": 1
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals",
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NY"
  ],
  "websites": [
    "https://esotericacap.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/304570",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/esoterica-capital-llc-304570",
  "display_name": "Esoterica Capital LLC",
  "summary": "Esoterica Capital LLC is an SEC-registered investment advisory firm, registered since 2019, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated February 4, 2026.",
  "citation": "AdvisorCensus. Esoterica Capital LLC (CRD 304570): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Esoterica Capital LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Esoterica Capital LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Is Esoterica Capital LLC registered with the SEC or a state?",
      "a": "Esoterica Capital LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 304570."
    },
    {
      "q": "How much does Esoterica Capital LLC manage?",
      "a": "Esoterica Capital LLC reports $43,428,492 in regulatory assets under management in its Form ADV filing dated February 4, 2026 (100% discretionary)."
    },
    {
      "q": "How have Esoterica Capital LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Esoterica Capital LLC: Regulatory assets under management: $54,576,946 in the October 2021 data and $43,428,492 in the October 2026 data, down 20%. Total employees: 6 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Esoterica Capital LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1); investment companies (1)."
    },
    {
      "q": "Which custodians does Esoterica Capital LLC use?",
      "a": "Esoterica Capital LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Interactive Brokers LLC, Morgan Stanley Bank Asia Limited and Morgan Stanley Smith Barney LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Esoterica 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/304570"
    },
    {
      "q": "What changed in Esoterica Capital LLC's recent Form ADV filings?",
      "a": "In the March 2026 filing data: Regulatory assets under management went from $54,047,390 to $43,428,492 (-20%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 54576946.0,
      "total_employees": 6,
      "filing_date": "2021-04-19"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 49242222.0,
      "total_employees": 5,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 30473673.0,
      "total_employees": 4,
      "filing_date": "2023-02-03"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 38741556.0,
      "total_employees": 4,
      "filing_date": "2024-03-07"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 54047390.0,
      "total_employees": 5,
      "filing_date": "2025-01-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 43428492.0,
      "total_employees": 5,
      "filing_date": "2026-02-04"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Regulatory assets under management went from $54,047,390 to $43,428,492 (-20%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Interactive Brokers LLC",
      "name_as_filed": "INTERACTIVE BROKERS LLC",
      "affiliated": false
    },
    {
      "name": "Morgan Stanley Bank Asia Limited",
      "name_as_filed": "MORGAN STANLEY BANK ASIA LIMITED",
      "affiliated": false
    },
    {
      "name": "Morgan Stanley Smith Barney LLC",
      "name_as_filed": "MORGAN STANLEY SMITH BARNEY 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/esoterica-capital-llc-304570.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1,
      "fewer_than_5": true,
      "raum": 21659965.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 21768527.0
    }
  ],
  "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/304570",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}