# Nine Thirty Capital Management, LLC

> Nine Thirty Capital Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2004, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 130545
- Filed as: NINE THIRTY CAPITAL MANAGEMENT, LLC
- Also doing business as: NINE THIRTY CAPITAL
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/130545
- AdvisorCensus page: https://advisorcensus.com/firm/nine-thirty-capital-management-llc-new-york-ny-130545

## Quick answers

**How is Nine Thirty Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Nine Thirty Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Nine Thirty Capital Management, LLC located?**
Nine Thirty Capital Management, LLC's principal office is in New York, NY, according to its Form ADV.

**Is Nine Thirty Capital Management, LLC registered with the SEC or a state?**
Nine Thirty Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 130545.

**How much does Nine Thirty Capital Management, LLC manage?**
Nine Thirty Capital Management, LLC reports $615,463,570 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Nine Thirty Capital Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Nine Thirty Capital Management, LLC: Regulatory assets under management: $451,452,032 in the October 2021 data and $615,463,570 in the October 2026 data, up 36%. Total employees: 8 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Nine Thirty Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (4).

**Does Nine Thirty Capital Management, 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/130545

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $615,463,570
- Discretionary: $615,463,570
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $567,853,262 |
| Other | Fewer than 5 | $47,610,308 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2004 (22 years)
- Employees: 5 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [930capital.com](https://930capital.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $451,452,032 | 8 | March 31, 2021 |
| October 2022 | $638,288,982 | 7 | March 30, 2022 |
| October 2023 | $622,809,298 | 6 | March 31, 2023 |
| October 2024 | $613,478,025 | 6 | March 28, 2024 |
| October 2025 | $609,286,232 | 5 | March 27, 2025 |
| October 2026 | $615,463,570 | 5 | March 30, 2026 |

Regulatory assets under management: $451,452,032 in the October 2021 data and $615,463,570 in the October 2026 data, up 36%.
Total employees: 8 in October 2021 and 5 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Nine Thirty Capital Management, LLC (CRD 130545): Form ADV filing data as of October 2026.