# Traub Capital Management

> Traub Capital Management is an SEC-registered investment advisory firm in Needham, MA, registered since 2009, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 5, 2026.

- CRD: 136851
- Filed as: TRAUB CAPITAL MANAGEMENT
- Legal name: Traub Capital Management, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Needham, MA
- Filing period: October 2026
- Form ADV filing dated: March 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/136851
- AdvisorCensus page: https://advisorcensus.com/firm/traub-capital-management-needham-ma-136851

## Quick answers

**How is Traub Capital Management compensated?**
On its Form ADV (Item 5.E, October 2026), Traub Capital Management reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is Traub Capital Management located?**
Traub Capital Management's principal office is in Needham, MA, according to its Form ADV.

**Is Traub Capital Management registered with the SEC or a state?**
Traub Capital Management is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 136851.

**How much does Traub Capital Management manage?**
Traub Capital Management reports $210,790,661 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (98% discretionary).

**How have Traub Capital Management's assets and staff changed since 2021?**
In the Form ADV data for Traub Capital Management: Regulatory assets under management: $126,440,077 in the October 2021 data and $210,790,661 in the October 2026 data, up 67%. Total employees: 3 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Traub Capital Management serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (70); individuals (other than high net worth individuals) (59); pension and profit sharing plans (but not the plan participants or government pension plans) (1).

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

**Does Traub Capital Management 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/136851

**What changed in Traub Capital Management's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $168,863,589 to $210,790,661 (+25%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC

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: $210,790,661
- Discretionary: $207,417,622
- Non-discretionary: $3,373,039

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 59 | $14,042,883 |
| High net worth individuals | 70 | $192,448,543 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $2,740,183 |
| Corporations or other businesses not listed above | 1 | $1,559,052 |

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

### Firm details
- Registered since: 2009 (17 years)
- Employees: 4 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, MA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $126,440,077 | 3 | February 24, 2021 |
| October 2022 | $148,641,154 | 3 | February 10, 2022 |
| October 2023 | $136,892,403 | 3 | March 16, 2023 |
| October 2024 | $149,509,953 | 3 | February 12, 2024 |
| October 2025 | $168,863,589 | 4 | March 24, 2025 |
| October 2026 | $210,790,661 | 4 | March 5, 2026 |

Regulatory assets under management: $126,440,077 in the October 2021 data and $210,790,661 in the October 2026 data, up 67%.
Total employees: 3 in October 2021 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $168,863,589 to $210,790,661 (+25%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Traub Capital Management (CRD 136851): Form ADV filing data as of October 2026.