# Esoterica Capital LLC

> 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.

- CRD: 304570
- Filed as: ESOTERICA CAPITAL LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: February 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/304570
- AdvisorCensus page: https://advisorcensus.com/firm/esoterica-capital-llc-304570

## Quick answers

**How is Esoterica Capital LLC compensated?**
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.

**Is Esoterica Capital LLC registered with the SEC or a state?**
Esoterica Capital LLC is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 304570.

**How much does Esoterica Capital LLC manage?**
Esoterica Capital LLC reports $43,428,492 in regulatory assets under management in its Form ADV filing dated February 4, 2026 (100% discretionary).

**How have Esoterica Capital LLC's assets and staff changed since 2021?**
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.

**What types of clients does Esoterica Capital LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1); investment companies (1).

**Which custodians does Esoterica Capital LLC use?**
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.

**Does Esoterica Capital LLC 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/304570

**What changed in Esoterica Capital LLC's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $54,047,390 to $43,428,492 (-20%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Interactive Brokers LLC
- Morgan Stanley Bank Asia Limited
- Morgan Stanley Smith Barney 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: $43,428,492
- Discretionary: $43,428,492
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1 | $21,659,965 |
| Investment companies | 1 | $21,768,527 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2019 (6 years)
- Employees: 5 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- esotericacap.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $54,576,946 | 6 | April 19, 2021 |
| October 2022 | $49,242,222 | 5 | March 31, 2022 |
| October 2023 | $30,473,673 | 4 | February 3, 2023 |
| October 2024 | $38,741,556 | 4 | March 7, 2024 |
| October 2025 | $54,047,390 | 5 | January 31, 2025 |
| October 2026 | $43,428,492 | 5 | February 4, 2026 |

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.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $54,047,390 to $43,428,492 (-20%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Esoterica Capital LLC (CRD 304570): Form ADV filing data as of October 2026.