{
  "crd_number": 145159,
  "slug": "rm-sincerbeaux-capital-management-llc-new-york-ny-145159",
  "primary_business_name": "RM SINCERBEAUX CAPITAL MANAGEMENT, LLC.",
  "legal_name": "R.M.SINCERBEAUX 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": "2007-10-15",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-03-24",
  "carried_forward": false,
  "raum_total": 227067889.0,
  "raum_discretionary": 223729963.0,
  "raum_non_discretionary": 3337926.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "high_net_worth_individuals": {
      "raum": 227067889.0,
      "count": 15
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NJ",
    "NY"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/145159",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/rm-sincerbeaux-capital-management-llc-new-york-ny-145159",
  "display_name": "RM Sincerbeaux Capital Management, LLC.",
  "summary": "RM Sincerbeaux Capital Management, LLC. is an SEC-registered investment advisory firm in New York, NY, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.",
  "citation": "AdvisorCensus. RM Sincerbeaux Capital Management, LLC. (CRD 145159): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is RM Sincerbeaux Capital Management, LLC. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), RM Sincerbeaux Capital Management, LLC. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is RM Sincerbeaux Capital Management, LLC. located?",
      "a": "RM Sincerbeaux Capital Management, LLC.'s principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is RM Sincerbeaux Capital Management, LLC. registered with the SEC or a state?",
      "a": "RM Sincerbeaux Capital Management, LLC. is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 145159."
    },
    {
      "q": "How much does RM Sincerbeaux Capital Management, LLC. manage?",
      "a": "RM Sincerbeaux Capital Management, LLC. reports $227,067,889 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (99% discretionary)."
    },
    {
      "q": "How have RM Sincerbeaux Capital Management, LLC.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for RM Sincerbeaux Capital Management, LLC.: Regulatory assets under management: $175,568,994 in the October 2021 data and $227,067,889 in the October 2026 data, up 29%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does RM Sincerbeaux Capital Management, LLC. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (15)."
    },
    {
      "q": "Which custodians does RM Sincerbeaux Capital Management, LLC. use?",
      "a": "RM Sincerbeaux Capital Management, LLC.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Goldman Sachs & Co. LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does RM Sincerbeaux 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/145159"
    },
    {
      "q": "What changed in RM Sincerbeaux Capital Management, LLC.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: No longer lists the business name R M. Sincerbeaux Capital Management, LLC."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 175568994.0,
      "total_employees": 1,
      "filing_date": "2021-03-19"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 198142585.0,
      "total_employees": 1,
      "filing_date": "2022-03-16"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 183037598.0,
      "total_employees": 1,
      "filing_date": "2023-03-15"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 178039307.0,
      "total_employees": 1,
      "filing_date": "2024-03-20"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 230004741.0,
      "total_employees": 1,
      "filing_date": "2025-06-06"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 227067889.0,
      "total_employees": 1,
      "filing_date": "2026-03-24"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "No longer lists the business name R M. Sincerbeaux Capital Management, LLC."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in FL."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Goldman Sachs & Co. LLC",
      "name_as_filed": "GOLDMAN SACHS & 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/rm-sincerbeaux-capital-management-llc-new-york-ny-145159.md",
  "clients": [
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 15,
      "fewer_than_5": false,
      "raum": 227067889.0
    }
  ],
  "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/145159",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}