{ "crd_number": 137842, "slug": "gates-capital-management-inc-new-york-ny-137842", "primary_business_name": "GATES CAPITAL MANAGEMENT, INC.", "legal_name": "GATES CAPITAL MANAGEMENT, INC.", "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": "2006-01-26", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-03-12", "carried_forward": false, "raum_total": 3256584000.0, "raum_discretionary": 3256584000.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 14, "advisory_employees": 8, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 3256584000.0, "count": 4 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 3, "states_registered": [], "websites": [ "https://gatescap.com", "https://linkedin.com/company/gates-capital-management-inc" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/137842", "disclosure_items": [ { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/gates-capital-management-inc-new-york-ny-137842", "display_name": "Gates Capital Management, Inc.", "summary": "Gates Capital Management, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2006, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 12, 2026.", "citation": "AdvisorCensus. Gates Capital Management, Inc. (CRD 137842): 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 Gates Capital Management, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Gates Capital Management, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Gates Capital Management, Inc. located?", "a": "Gates Capital Management, Inc.'s principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Gates Capital Management, Inc. registered with the SEC or a state?", "a": "Gates Capital Management, Inc. is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 137842." }, { "q": "How much does Gates Capital Management, Inc. manage?", "a": "Gates Capital Management, Inc. reports $3,256,584,000 in regulatory assets under management in its Form ADV filing dated March 12, 2026 (100% discretionary)." }, { "q": "How have Gates Capital Management, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Gates Capital Management, Inc.: Regulatory assets under management: $2,954,682,000 in the October 2021 data and $3,256,584,000 in the October 2026 data, up 10%. Total employees: 11 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Gates Capital Management, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (4)." }, { "q": "Does Gates Capital Management, Inc. report any disciplinary disclosures?", "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/137842" }, { "q": "What changed in Gates Capital Management, Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 9 to 8. Regulatory assets under management went from $3,941,272,000 to $3,256,584,000 (-17%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2954682000.0, "total_employees": 11, "filing_date": "2021-03-22" }, { "period": "2022-10-01", "regulatory_assets_under_management": 3792852000.0, "total_employees": 14, "filing_date": "2022-03-23" }, { "period": "2023-10-01", "regulatory_assets_under_management": 3079382000.0, "total_employees": 15, "filing_date": "2023-03-28" }, { "period": "2024-10-01", "regulatory_assets_under_management": 3643526000.0, "total_employees": 15, "filing_date": "2024-03-13" }, { "period": "2025-10-01", "regulatory_assets_under_management": 3941272000.0, "total_employees": 15, "filing_date": "2025-03-13" }, { "period": "2026-10-01", "regulatory_assets_under_management": 3256584000.0, "total_employees": 14, "filing_date": "2026-03-12" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 9 to 8.", "Regulatory assets under management went from $3,941,272,000 to $3,256,584,000 (-17%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/gates-capital-management-inc-new-york-ny-137842.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 4, "fewer_than_5": false, "raum": 3256584000.0 } ], "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.", "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/137842", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }