# Kate Capital LLC

> 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.

- CRD: 329897
- Filed as: KATE CAPITAL LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Westport, CT
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/329897
- AdvisorCensus page: https://advisorcensus.com/firm/kate-capital-llc-westport-ct-329897

## Quick answers

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

**How much does Kate Capital LLC charge?**
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.

**Where is Kate Capital LLC located?**
Kate Capital LLC's principal office is in Westport, CT, according to its Form ADV.

**Is Kate Capital LLC registered with the SEC or a state?**
Kate Capital LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 329897.

**How much does Kate Capital LLC manage?**
Kate Capital LLC reports $206,782,179 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Kate Capital LLC's assets and staff changed since 2025?**
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.

**What types of clients does Kate Capital LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (5).

**Does Kate 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/329897

**What changed in Kate Capital LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 5 to 6.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Asset-based fee: 1% to 1.5% a year (a range, as the brochure states it)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $206,782,179
- Discretionary: $206,782,179
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 5 | $206,782,179 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2024 (1 year)
- Employees: 8 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [katecapllc.com](https://katecapllc.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $218,685,575 | 7 | March 28, 2025 |
| October 2026 | $206,782,179 | 8 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 5 to 6.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Kate Capital LLC (CRD 329897): Form ADV filing data as of October 2026.