# Fien Capital Management, LLC

> Fien Capital Management, LLC is an SEC-registered investment advisory firm in Rochester, NY, registered since 2001, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 27, 2026.

- CRD: 114951
- Filed as: FIEN CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Rochester, NY
- Filing period: October 2026
- Form ADV filing dated: February 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/114951
- AdvisorCensus page: https://advisorcensus.com/firm/fien-capital-management-llc-rochester-ny-114951

## Quick answers

**How is Fien Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Fien Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Fien Capital Management, LLC located?**
Fien Capital Management, LLC's principal office is in Rochester, NY, according to its Form ADV.

**Is Fien Capital Management, LLC registered with the SEC or a state?**
Fien Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 114951.

**How much does Fien Capital Management, LLC manage?**
Fien Capital Management, LLC reports $137,710,371 in regulatory assets under management in its Form ADV filing dated February 27, 2026 (100% discretionary).

**How have Fien Capital Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Fien Capital Management, LLC: Regulatory assets under management: $111,613,104 in the October 2021 data and $137,710,371 in the October 2026 data, up 23%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Fien Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (54); individuals (other than high net worth individuals) (53).

**Which custodians does Fien Capital Management, LLC use?**
Fien Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Fien Capital 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/114951

**What changed in Fien Capital Management, LLC's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $124,936,879 to $137,710,371 (+10%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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: $137,710,371
- Discretionary: $137,710,371
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 53 | $17,998,721 |
| High net worth individuals | 54 | $113,595,817 |
| Charitable organizations | Fewer than 5 | $5,799,018 |
| Corporations or other businesses not listed above | Fewer than 5 | $316,815 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2001 (25 years)
- Employees: 2 total, 2 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.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $111,613,104 | 2 | March 19, 2021 |
| October 2022 | $113,969,652 | 2 | March 2, 2022 |
| October 2023 | $110,967,254 | 2 | March 17, 2023 |
| October 2024 | $118,263,928 | 2 | March 15, 2024 |
| October 2025 | $124,936,879 | 2 | March 17, 2025 |
| October 2026 | $137,710,371 | 2 | February 27, 2026 |

Regulatory assets under management: $111,613,104 in the October 2021 data and $137,710,371 in the October 2026 data, up 23%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $124,936,879 to $137,710,371 (+10%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Fien Capital Management, LLC (CRD 114951): Form ADV filing data as of October 2026.