{ "crd_number": 297220, "slug": "sp-capital-partners-llc-new-york-ny-297220", "primary_business_name": "SP CAPITAL PARTNERS, LLC", "legal_name": "SP CAPITAL PARTNERS, 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": "exempt", "registration_status": "ERA - Active", "registration_date": "2018-05-25", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-08-11", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": null, "advisory_employees": null, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [], "advisory_activities": [], "wrap_fee_participant": null, "disclosure_yes_count": 7, "states_registered": [], "websites": [ "https://spcappartners.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/297220", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "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?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "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?" }, { "item": "11.D(1)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/sp-capital-partners-llc-new-york-ny-297220", "display_name": "SP Capital Partners, LLC", "summary": "SP Capital Partners, LLC is an exempt reporting adviser in New York, NY, filing reports since 2018. Exempt reporting advisers do not report regulatory assets under management on Form ADV.", "citation": "AdvisorCensus. SP Capital Partners, LLC (CRD 297220): Form ADV filing data as of October 2026.", "registration_type_label": "Exempt reporting adviser", "compensation_labels": [], "advisory_activity_labels": [], "quick_answers": [ { "q": "Where is SP Capital Partners, LLC located?", "a": "SP Capital Partners, LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "How does SP Capital Partners, LLC report to regulators?", "a": "SP Capital Partners, LLC is an exempt reporting adviser, filing reports since 2018. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 297220." }, { "q": "Does SP Capital Partners, LLC report any disciplinary disclosures?", "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4)). 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/297220" }, { "q": "What changed in SP Capital Partners, LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2021-05-04" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2022-03-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2024-03-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2025-08-20" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2026-08-11" } ], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/sp-capital-partners-llc-new-york-ny-297220.md", "clients": [], "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.", "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/297220", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }