{ "crd_number": 119128, "slug": "vanbarton-group-llc-new-york-ny-119128", "primary_business_name": "VANBARTON GROUP LLC", "legal_name": "VANBARTON GROUP 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": "2002-02-25", "years_registered": 24, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 2280800000.0, "raum_discretionary": 2280800000.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 28, "advisory_employees": 20, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 2172760000.0, "count": 8 }, "corporations_other_businesses": { "raum": 108040000.0, "count": 1 } }, "compensation_types": [ "other", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "NY" ], "websites": [ "https://linkedin.com/COMPANY/10053943", "https://vanbartongroup.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/119128", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/vanbarton-group-llc-new-york-ny-119128", "display_name": "Vanbarton Group LLC", "summary": "Vanbarton Group LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2002, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Vanbarton Group LLC (CRD 119128): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees", "Other" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Vanbarton Group LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Vanbarton Group LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other." }, { "q": "How much does Vanbarton Group LLC charge?", "a": "Its Form ADV Part 2A brochure dated March 30, 2026 states: Asset-based fee: 0.5% to 1.25% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Vanbarton Group LLC located?", "a": "Vanbarton Group LLC's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Vanbarton Group LLC registered with the SEC or a state?", "a": "Vanbarton Group LLC is an SEC-registered investment advisory firm, registered since 2002. Status as filed: Approved. CRD 119128." }, { "q": "How much does Vanbarton Group LLC manage?", "a": "Vanbarton Group LLC reports $2,280,800,000 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have Vanbarton Group LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Vanbarton Group LLC: Regulatory assets under management: $2,298,200,000 in the October 2021 data and $2,280,800,000 in the October 2026 data, down 1%. Total employees: 33 in October 2021 and 28 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Vanbarton Group LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (8); corporations or other businesses not listed above (1)." }, { "q": "Does Vanbarton Group 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/119128" }, { "q": "What changed in Vanbarton Group LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 17 to 20. Registered or notice-filed in CA." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2298200000.0, "total_employees": 33, "filing_date": "2021-04-15" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2616607210.0, "total_employees": 33, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 2367903796.0, "total_employees": 34, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1985003516.0, "total_employees": 24, "filing_date": "2024-03-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2236705251.0, "total_employees": 28, "filing_date": "2025-03-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2280800000.0, "total_employees": 28, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 17 to 20.", "Registered or notice-filed in CA." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 30, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": "0.5% to 1.25% a year", "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 0.5% to 1.25% a year (a range, as the brochure states it)" ], "quotes": [ "The Advisor generally receives an annual asset management fee equal to between 0. 50% and 1.25% of the equity investment in a transaction." ] } ], "values": { "tiers": [], "range_pct": [ 0.5, 1.25 ], "max_pct": null, "account_minimum": null, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "The Advisor generally receives an annual asset management fee equal to between 0. 50% and 1.25% of the equity investment in a transaction." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/vanbarton-group-llc-new-york-ny-119128.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 8, "fewer_than_5": false, "raum": 2172760000.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 1, "fewer_than_5": false, "raum": 108040000.0 } ], "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/119128", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }