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.
Pricap Advisors LLC
New York, NY
CRD 159614
Firm filing updated March 30, 2026 ·
- $41.7MAssets
- 2Advisory staff
- 37Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals7
- Pooled vehicles2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | Fewer than 5 clients | $3.5 million |
| High net worth individuals | 7 | $24.5 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $5.7 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $3.0 million |
| Charitable organizations | Fewer than 5 clients | $3.6 million |
| Other investment advisors | Fewer than 5 clients | $1.3 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 individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
Assets and accounts
- Regulatory assets$41.7 million
- Accounts37
- DiscretionaryAll accounts
People
- Employees2
- Advisory staff2
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients0
Registration details
- SEC-registered investment advisor. CRD 159614, SEC file 801-73218.
- Registered with the SEC as an investment advisor (status date on record: March 21, 2012).
Is Pricap Advisors LLC a fiduciary?
Short answer: Pricap Advisors 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.