# Stratton Capital Investment Advisory LLC

> Stratton Capital Investment Advisory LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 4, 2026.

- CRD: 307491
- Filed as: STRATTON CAPITAL INVESTMENT ADVISORY LLC
- Also doing business as: STRATTON, STRATTON  CAPITAL
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: June 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/307491
- AdvisorCensus page: https://advisorcensus.com/firm/stratton-capital-investment-advisory-llc-new-york-ny-307491

## Quick answers

**How is Stratton Capital Investment Advisory LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Stratton Capital Investment Advisory LLC reports these compensation arrangements: a percentage of assets under its management.

**How much does Stratton Capital Investment Advisory LLC charge?**
Its Form ADV Part 2A brochure dated June 4, 2026 states: Asset-based fee: 0.01% to 1.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Stratton Capital Investment Advisory LLC located?**
Stratton Capital Investment Advisory LLC's principal office is in New York, NY, according to its Form ADV.

**Is Stratton Capital Investment Advisory LLC registered with the SEC or a state?**
Stratton Capital Investment Advisory LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 307491.

**How much does Stratton Capital Investment Advisory LLC manage?**
Stratton Capital Investment Advisory LLC reports $138,321,970 in regulatory assets under management in its Form ADV filing dated June 4, 2026 (98% discretionary).

**How have Stratton Capital Investment Advisory LLC's assets and staff changed since 2025?**
In the Form ADV data for Stratton Capital Investment Advisory LLC: Regulatory assets under management: $75,159,000 in the October 2025 data and $138,321,970 in the October 2026 data, up 84%. Total employees: 12 in October 2025 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Stratton Capital Investment Advisory LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (582); high net worth individuals (61); pension and profit sharing plans (but not the plan participants or government pension plans) (15).

**Which custodians does Stratton Capital Investment Advisory LLC use?**
Stratton Capital Investment Advisory LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Interactive Brokers LLC and Morgan Stanley as custodians holding 10% or more of its separately managed account assets.

**Does Stratton Capital Investment Advisory 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/307491

**Does Stratton Capital Investment Advisory LLC state an account minimum?**
Its Form ADV Part 2A brochure dated June 4, 2026 says: "Stratton Capital generally does not impose a minimum relationship size."

**What changed in Stratton Capital Investment Advisory LLC's recent Form ADV filings?**
In the May 2026 filing data: Employees performing advisory functions went from 6 to 7. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated June 4, 2026)

- Asset-based fee: 0.01% to 1.5% a year (a range, as the brochure states it)

> Investment management fees range from 0.01% to 1.50% annually based on several factors, including: the complexity of the services to be provided, the level of assets to be managed, and the overall relationship with the Advisor.

- Account minimum: None

> Stratton Capital generally does not impose a minimum relationship size.

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Interactive Brokers LLC
- Morgan Stanley

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: $138,321,970
- Discretionary: $135,682,435
- Non-discretionary: $2,639,535

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 582 | $56,567,589 |
| High net worth individuals | 61 | $75,377,017 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 15 | $2,724,903 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 5 | $3,652,461 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2025 (1 year)
- Employees: 13 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, MA, NJ, NY, TX, VT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $75,159,000 | 12 | June 27, 2025 |
| October 2026 | $138,321,970 | 13 | June 4, 2026 |

Regulatory assets under management: $75,159,000 in the October 2025 data and $138,321,970 in the October 2026 data, up 84%.
Total employees: 12 in October 2025 and 13 in October 2026.

## Changes in the filing (last 12 months)

### May 2026
- Employees performing advisory functions went from 6 to 7.
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Added the business name Stratton Capital.
- Added the business name Stratton.
- Regulatory assets under management went from $75,159,000 to $138,321,970 (+84%).
- No longer lists an office in Winhall, VT.

### December 2025
- Employees performing advisory functions went from 5 to 6.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Stratton Capital Investment Advisory LLC (CRD 307491): Form ADV filing data as of October 2026.