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.
Open Field Capital LLC
New York, NY
CRD 136313
Firm filing updated March 30, 2026 ·
- $208.1MAssets
- 4Advisory staff
- 16Accounts
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
- Pooled vehicles10
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | Fewer than 5 clients | $13.8 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 10 | $111.2 million |
| Other: "INSTITUTION" | Fewer than 5 clients | $83.1 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)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- 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$208.1 million
- Accounts16
- DiscretionaryAll accounts
People
- Employees4
- Advisory staff4
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 136313, SEC file 801-64621.
- Registered with the SEC as an investment advisor (status date on record: August 15, 2005).
Is Open Field Capital LLC a fiduciary?
Short answer: Open Field Capital 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.