# Fairlead Asset Management LLC

> Fairlead Asset Management LLC is an SEC-registered investment advisory firm in Greenwich, CT, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 5, 2026.

- CRD: 297384
- Filed as: FAIRLEAD ASSET MANAGEMENT LLC
- Also doing business as: FAIRLEAD STRATEGIES
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Greenwich, CT
- Filing period: October 2026
- Form ADV filing dated: August 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/297384
- AdvisorCensus page: https://advisorcensus.com/firm/fairlead-asset-management-llc-greenwich-ct-297384

## Quick answers

**How is Fairlead Asset Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Fairlead Asset Management LLC reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Fairlead Asset Management LLC located?**
Fairlead Asset Management LLC's principal office is in Greenwich, CT, according to its Form ADV.

**Is Fairlead Asset Management LLC registered with the SEC or a state?**
Fairlead Asset Management LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 297384.

**How much does Fairlead Asset Management LLC manage?**
Fairlead Asset Management LLC reports $271,599,260 in regulatory assets under management in its Form ADV filing dated August 5, 2026 (100% discretionary).

**How have Fairlead Asset Management LLC's assets and staff changed since 2022?**
In the Form ADV data for Fairlead Asset Management LLC: Regulatory assets under management: $0 in the October 2022 data and $271,599,260 in the October 2026 data. Total employees: 3 in October 2022 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Fairlead Asset Management LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (1).

**Does Fairlead Asset Management 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/297384

**What changed in Fairlead Asset Management LLC's recent Form ADV filings?**
In the July 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- Other

### Regulatory assets under management (Item 5.F)
- Total: $271,599,260
- Discretionary: $271,599,260
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $271,599,260 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2021 (4 years)
- Employees: 4 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, CT, FL, IL, MA, NE, NY, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- fairleadstrategies.com
- LinkedIn @KATIE-STOCKTON-CMT-92B47B7
- X @StocktonKatie

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $0 | 3 | March 25, 2022 |
| October 2023 | $192,000,000 | 4 | July 20, 2023 |
| October 2024 | $209,000,000 | 5 | March 13, 2024 |
| October 2025 | $215,356,115 | 4 | January 16, 2025 |
| October 2026 | $271,599,260 | 4 | August 5, 2026 |

Regulatory assets under management: $0 in the October 2022 data and $271,599,260 in the October 2026 data.
Total employees: 3 in October 2022 and 4 in October 2026.

## Changes in the filing (last 12 months)

### July 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Added the business name Fairlead Strategies.
- Employees performing advisory functions went from 4 to 3.

### March 2026
- Changed its legal name from Fairlead Strategies, LLC to Fairlead Asset Management LLC.
- Updated its list of owners and control persons (Schedule A).

### February 2026
- Regulatory assets under management went from $215,356,115 to $271,599,260 (+26%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Fairlead Asset Management LLC (CRD 297384): Form ADV filing data as of October 2026.