# October Effect Ltd.

> October Effect Ltd. is an SEC-registered investment advisory firm in Virginia Beach, VA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 25, 2026.

- CRD: 281369
- Filed as: OCTOBER EFFECT LTD.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Virginia Beach, VA
- Filing period: October 2026
- Form ADV filing dated: June 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/281369
- AdvisorCensus page: https://advisorcensus.com/firm/october-effect-ltd-virginia-beach-va-281369

## Quick answers

**How is October Effect Ltd. compensated?**
On its Form ADV (Item 5.E, October 2026), October Effect Ltd. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees; other.

**Where is October Effect Ltd. located?**
October Effect Ltd.'s principal office is in Virginia Beach, VA, according to its Form ADV; the July 2026 filing also lists 2 other offices (Schedule D, Section 1.F).

**Is October Effect Ltd. registered with the SEC or a state?**
October Effect Ltd. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 281369.

**How much does October Effect Ltd. manage?**
October Effect Ltd. reports $145,595,475 in regulatory assets under management in its Form ADV filing dated June 25, 2026 (100% discretionary).

**How have October Effect Ltd.'s assets and staff changed since 2025?**
In the Form ADV data for October Effect Ltd.: Regulatory assets under management: $111,668,310 in the October 2025 data and $145,595,475 in the October 2026 data, up 30%. Total employees: 4 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does October Effect Ltd. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (574); high net worth individuals (22); investment companies (1).

**Which custodians does October Effect Ltd. use?**
October Effect Ltd.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Absolute Capital and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets.

**Does October Effect Ltd. 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/281369

**Does October Effect Ltd. state an account minimum?**
Its Form ADV Part 2A brochure dated June 25, 2026 says: "There is a $10,000 minimum required to open and maintain an advisory account. This minimum amount may be waived at the discretion of the firm."

**What changed in October Effect Ltd.'s recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $111,668,310 to $138,936,260 (+24%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Other

### Fees and minimums (Form ADV Part 2A brochure dated June 25, 2026)

- Account minimum: $10,000 (the brochure says it may be waived or negotiated)

> There is a $10,000 minimum required to open and maintain an advisory account. This minimum amount may be waived at the discretion of the firm.

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

### Custodians (Schedule D, Section 5.K(3))
- Absolute Capital
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $145,595,475
- Discretionary: $145,595,475
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 574 | $99,139,948 |
| High net worth individuals | 22 | $46,138,008 |
| Investment companies | 1 | $317,519 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2025 (1 year)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, FL, NC, SC, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the July 2026 filing
- Newport New, VA
- Virginia Beach, VA

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $111,668,310 | 4 | April 16, 2025 |
| October 2026 | $145,595,475 | 4 | June 25, 2026 |

Regulatory assets under management: $111,668,310 in the October 2025 data and $145,595,475 in the October 2026 data, up 30%.
Total employees: 4 in October 2025 and 4 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $111,668,310 to $138,936,260 (+24%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. October Effect Ltd. (CRD 281369): Form ADV filing data as of October 2026.