{
  "crd_number": 138175,
  "slug": "maltese-capital-management-llc-new-york-ny-138175",
  "primary_business_name": "MALTESE CAPITAL MANAGEMENT, LLC",
  "legal_name": "MALTESE CAPITAL MANAGEMENT, LLC",
  "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": "2010-11-17",
  "years_registered": 15,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 695726000.0,
  "raum_discretionary": 695726000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 17,
  "advisory_employees": 9,
  "client_count_bucket": null,
  "clients_by_type": {
    "pooled_investment_vehicles": {
      "raum": 644581000.0,
      "count": 5
    },
    "corporations_other_businesses": {
      "raum": 51145000.0,
      "count": 2
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NY",
    "TX"
  ],
  "websites": [
    "https://maltesecap.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/138175",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/maltese-capital-management-llc-new-york-ny-138175",
  "display_name": "Maltese Capital Management, LLC",
  "summary": "Maltese Capital Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2010, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Maltese Capital Management, LLC (CRD 138175): 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)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Maltese Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Maltese Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "Where is Maltese Capital Management, LLC located?",
      "a": "Maltese Capital Management, LLC's principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Maltese Capital Management, LLC registered with the SEC or a state?",
      "a": "Maltese Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 138175."
    },
    {
      "q": "How much does Maltese Capital Management, LLC manage?",
      "a": "Maltese Capital Management, LLC reports $695,726,000 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Maltese Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Maltese Capital Management, LLC: Regulatory assets under management: $1,095,463,000 in the October 2021 data and $695,726,000 in the October 2026 data, down 36%. Total employees: 22 in October 2021 and 17 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Maltese Capital Management, 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); corporations or other businesses not listed above (2)."
    },
    {
      "q": "Which custodians does Maltese Capital Management, LLC use?",
      "a": "Maltese Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Morgan Stanley & Co. LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Maltese Capital Management, 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/138175"
    },
    {
      "q": "What changed in Maltese Capital Management, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $831,061,000 to $695,726,000 (-16%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1095463000.0,
      "total_employees": 22,
      "filing_date": "2021-07-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1011202000.0,
      "total_employees": 19,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 925740000.0,
      "total_employees": 19,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 747090000.0,
      "total_employees": 17,
      "filing_date": "2024-03-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 831061000.0,
      "total_employees": 17,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 695726000.0,
      "total_employees": 17,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $831,061,000 to $695,726,000 (-16%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in WA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Morgan Stanley & Co. LLC",
      "name_as_filed": "MORGAN STANLEY & CO. LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/maltese-capital-management-llc-new-york-ny-138175.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": 644581000.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 2,
      "fewer_than_5": false,
      "raum": 51145000.0
    }
  ],
  "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/138175",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}