Adviser Record

Fundstrat Capital

Registered investment adviser · New York, NY · CRD #332163

Form ADV data as of 2026-09-01
Regulatory assets
$4.60 billion
Total accounts
3
Employees
3
Disclosure events
0

Firm details

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management servicesYes
Discretionary regulatory assets under management$4.60 billion
Non-discretionary regulatory assets under management$0
Total regulatory assets under management$4.60 billion
Discretionary accounts3
Non-discretionary accounts0
Total accounts3
Regulatory assets under management attributable to non-U.S. persons$0

People

Total employees (excluding clerical)3
Employees performing investment advisory functions (including research)2
Employees who are registered representatives of a broker-dealer3
Employees registered as investment adviser representatives with a state0
Employees registered as IARs for another investment adviser0
Employees who are licensed insurance agents0
Firms or persons who solicit advisory clients on the firm's behalf0

Custody

Has custody of client cash or bank accountsNo
Has custody of client securitiesNo
A related person has custody of client cash or bank accountsNo
A related person has custody of client securitiesNo
The firm acts as a qualified custodianNo
A related person acts as a qualified custodianNo

How the firm is compensated

A percentage of assets under managementOther

Advisory services offered

Portfolio management for investment companies

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Client types

Type of clientClientsAssets
Investment companies3$4.60 billion