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.
Kennedy Capital Management
St Louis, MO
Kennedy Capital Management LLC, CRD 105834
Firm filing updated May 21, 2026 ·
- $5BAssets
- 20Advisory staff
- 213Accounts
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 individuals92
- Corporations or other businesses26
- State or municipal government entities (including government pension plans)23
- Charities18
- Pooled vehicles11
- and 3 more23
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | Fewer than 5 clients | $2.7 million |
| High net worth individuals | 92 | $120.1 million |
| Banking or thrift institutions | Fewer than 5 clients | $0 |
| Investment companies | 7 | $269.4 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 11 | $1.6 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 9 | $280.0 million |
| Charitable organizations | 18 | $472.6 million |
| State or municipal government entities (including government pension plans) | 23 | $1.6 billion |
| Other investment advisors | 7 | $299.4 million |
| Insurance companies | Fewer than 5 clients | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 |
| Corporations or other businesses not listed above | 26 | $376.5 million |
| Other: "KNOWLEDGEABLE EMPLOYEES" | 16 | $7.7 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 investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 4 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$5.0 billion
- Accounts213
- Discretionary$4.9 billion · 207 accounts
- Non-discretionary$136.0 million · 6 accounts
People
- Employees43
- Advisory staff20
- Broker-dealer reps2
- Licensed insurance agents0
- Planning clients0
Advisors
10 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Kennedy Capital Management LLC SEC-registered investment advisor. CRD 105834, SEC file 801-15323.
- Registered with the SEC as an investment advisor (status date on record: July 17, 1980).
Is Kennedy Capital Management a fiduciary?
Short answer: Kennedy Capital Management is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 2 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
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.