{
  "crd_number": 329897,
  "slug": "kate-capital-llc-westport-ct-329897",
  "primary_business_name": "KATE CAPITAL LLC",
  "legal_name": "KATE CAPITAL LLC",
  "dbas": [],
  "city": "Westport",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2024-11-13",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 206782179.0,
  "raum_discretionary": 206782179.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 8,
  "advisory_employees": 6,
  "client_count_bucket": null,
  "clients_by_type": {
    "pooled_investment_vehicles": {
      "raum": 206782179.0,
      "count": 5
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CT"
  ],
  "websites": [
    "https://katecapllc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/329897",
  "city_as_filed": "WESTPORT",
  "url": "https://advisorcensus.com/firm/kate-capital-llc-westport-ct-329897",
  "display_name": "Kate Capital LLC",
  "summary": "Kate Capital LLC is an SEC-registered investment advisory firm in Westport, CT, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Kate Capital LLC (CRD 329897): 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 Kate Capital LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Kate Capital LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "What does Kate Capital LLC's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 1% to 1.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Kate Capital LLC located?",
      "a": "Kate Capital LLC's principal office is in Westport, CT, according to its Form ADV."
    },
    {
      "q": "Is Kate Capital LLC registered with the SEC or a state?",
      "a": "Kate Capital LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 329897."
    },
    {
      "q": "How much does Kate Capital LLC manage?",
      "a": "Kate Capital LLC reports $206,782,179 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have Kate Capital LLC's assets and staff changed since 2025?",
      "a": "In the Form ADV data for Kate Capital LLC: Regulatory assets under management: $218,685,575 in the October 2025 data and $206,782,179 in the October 2026 data, down 5%. Total employees: 7 in October 2025 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Kate Capital LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (5)."
    },
    {
      "q": "Does Kate 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/329897"
    },
    {
      "q": "What changed in Kate Capital LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 5 to 6."
    }
  ],
  "filing_history": [
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 218685575.0,
      "total_employees": 7,
      "filing_date": "2025-03-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 206782179.0,
      "total_employees": 8,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 5 to 6."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": "1% to 1.5% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% to 1.5% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "With respect to the Clients, the Investment Manager will generally receive a management fee ranging from 1% to 1.5% per annum and/or performance-based compensation (the “Incentive Fee”), as further described under Item 6, for its investment advisory services."
        ]
      }
    ],
    "quotes": [
      "With respect to the Clients, the Investment Manager will generally receive a management fee ranging from 1% to 1.5% per annum and/or performance-based compensation (the “Incentive Fee”), as further described under Item 6, for its investment advisory services."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/kate-capital-llc-westport-ct-329897.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 206782179.0
    }
  ],
  "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/329897",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}