# NGN Capital LLC

> NGN Capital LLC is an exempt reporting adviser in Stamford, CT, filing reports since 2012. Exempt reporting advisers do not report regulatory assets under management on Form ADV.

- CRD: 162938
- Filed as: NGN CAPITAL LLC
- Reporting status: Exempt reporting adviser (status as filed: ERA - Active)
- Location: Stamford, CT
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/162938
- AdvisorCensus page: https://advisorcensus.com/firm/ngn-capital-llc-stamford-ct-162938

## Quick answers

**Where is NGN Capital LLC located?**
NGN Capital LLC's principal office is in Stamford, CT, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**How does NGN Capital LLC report to regulators?**
NGN Capital LLC is an exempt reporting adviser, filing reports since 2012. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 162938.

**Does NGN Capital LLC report any disciplinary disclosures?**
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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/162938

## From the Form ADV filing

### Firm details
- Reporting since: 2012 (14 years)
- Employees: Not reported total, Not reported performing advisory functions
- Wrap fee program participation: Not reported
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

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/162938

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Heidelberg

### Websites listed on Form ADV (Item 1.I)
- ngncapital.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | Not reported | March 18, 2021 |
| October 2022 | Not reported | Not reported | March 24, 2022 |
| October 2023 | Not reported | Not reported | March 20, 2023 |
| October 2024 | Not reported | Not reported | March 15, 2024 |
| October 2025 | Not reported | Not reported | March 26, 2025 |
| October 2026 | Not reported | Not reported | March 19, 2026 |


## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. NGN Capital LLC (CRD 162938): Form ADV filing data as of October 2026.