SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Adalta Capital Management LLC
New York, NY
CRD 283771
Firm filing updated March 31, 2026 ·
- $305.5MAssets
- 3Advisory staff
- 193Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals53
- Individuals20
- Pooled vehicles1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 20 | $6.9 million |
| High net worth individuals | 53 | $250.6 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $717,654 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $1.8 million |
| Charitable organizations | Fewer than 5 clients | $37.7 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $7.9 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisors (including private fund managers)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$305.5 million
- Accounts193
- Discretionary$302.9 million · 188 accounts
- Non-discretionary$2.7 million · 5 accounts
People
- Employees3
- Advisory staff3
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 283771, SEC file 801-107823.
- Registered with the SEC as an investment advisor (status date on record: May 13, 2016).
Is Adalta Capital Management LLC a fiduciary?
Short answer: Adalta Capital Management LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.