# Malcolm Capital Management LLC

> Malcolm Capital Management LLC is a state-registered investment advisory firm, registered since 2023, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 322512
- Filed as: MALCOLM CAPITAL MANAGEMENT LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in South Dakota
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/322512
- AdvisorCensus page: https://advisorcensus.com/firm/malcolm-capital-management-llc-322512

## Quick answers

**How is Malcolm Capital Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Malcolm Capital Management LLC reports these compensation arrangements: a percentage of assets under its management.

**Is Malcolm Capital Management LLC registered with the SEC or a state?**
Malcolm Capital Management LLC is a state-registered investment advisory firm, registered since 2023. Status as filed: APPROVED. CRD 322512.

**How much does Malcolm Capital Management LLC manage?**
Malcolm Capital Management LLC reports $223,401 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**Does Malcolm Capital Management LLC report any disciplinary disclosures?**
Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(3) (another regulator's finding of causing a business's authorization to be denied, suspended, revoked, or restricted), 11.D(4) (another regulator's order in the past ten years), and 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/322512

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $223,401
- Discretionary: $223,401
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $131,263 |
| High net worth individuals | Fewer than 5 | $80,517 |
| Other | Fewer than 5 | $11,621 |

### 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: 2023 (3 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: SD
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(3): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/322512

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Malcolm Capital Management LLC (CRD 322512): Form ADV filing data as of October 2026.