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.
Estabrook Capital Management LLC
New York, NY
CRD 128856
Firm filing updated March 27, 2026 ·
- $933.3MAssets
- 767Clients
- 5Advisory staff
- 767Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals548
- High net worth individuals149
- Charities34
- Pension and profit sharing plans18
- Corporations or other businesses17
- and 1 more1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 548 | $154.1 million |
| High net worth individuals | 149 | $600.2 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 18 | $12.2 million |
| Charitable organizations | 34 | $69.1 million |
| State or municipal government entities (including government pension plans) | 1 | $13.3 million |
| Corporations or other businesses not listed above | 17 | $84.4 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
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Other: "PROVIDES NONDISCRETIONARY SERVICES, INCLUDING INVESTMENT PORTFOLIO MODELS TO OTHER SPONSORS."
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "PROVIDES NONDISCRETIONARY SERVICES, INCLUDING INVESTMENT PORTFOLIO MODELS TO OTHER SPONSORS."
Assets and accounts
- Regulatory assets$933.3 million
- Accounts767
- DiscretionaryAll accounts
People
- Employees10
- Advisory staff5
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients1 to 10
Registration details
- SEC-registered investment advisor. CRD 128856, SEC file 801-62452.
- Registered with the SEC as an investment advisor (status date on record: October 22, 2003).
Is Estabrook Capital Management LLC a fiduciary?
Short answer: Estabrook 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.