Hedge Fund Database

CLAYBROOK CAPITAL, LLC

Adviser information for CLAYBROOK CAPITAL, LLC last updated from Form ADV on March 14th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 74 $295.8M
Non-Discretionary 0 $0
Total 74 $295.8M

Clients

Type Number RAUM
Individuals 18 $3.8M
HNW Individuals 14 $292.0M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-108800
SEC ERA File Number 801-108800
SEC CIK Numbers 1729848
SEC CRD Numbers 286209
Legal Entity Identifier None

Principal Office

75 CENTRAL STREET
2ND FLOOR
WELLESLEY
MA
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (617) 932-7927, Fax: (617) 932-7940

Websites

www.linkedin.com/company/claybrook-capital claybrookcapital.com

Chief Compliance Officer

VIRGINIA E. AARON
VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
98 BALDWIN STREET
CHARLESTOWN
MA
United States
Tel: (617) 932-7927
Fax: (617) 932-7940
(Full email address available in API data)

Regulatory Contact

JERRY A. NIGRO
CO-FOUNDER AND MANAGING DIRECTOR OF WEALTH MANAGEMENT ADVISORY
15 WASHBURN AVE
WELLESLEY
MA
United States
Tel: (617) 932-7927
Fax: (617) 932-7940
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
NIGRO, JERRY, ANTHONY Individual – MEMBER/MANAGER - CO-FOUNDER AND MANAGING DIRECTOR OF WEALTH MANAGEMENT ADVISORY 08/2017 50-75%
AARON, VIRGINIA, ELIZABETH Individual – MEMBER/MANAGER - VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 08/2017 10-25%
ARELLA, BRUCE, [NO MIDDLE NAME] Individual – MEMBER/MANAGER - CO-FOUNDER AND BOARD OF ADVISORS 07/2017 25-50%

No. Employees, Historic

1050202020212022202320243 on 3/13/20203 on 6/7/20203 on 7/15/20203 on 3/4/20213 on 7/7/20213 on 3/4/20223 on 8/31/20223 on 3/14/2023

RAUM, Historic

400M200M020202021202220232024355520943 on 3/13/2020355520943 on 6/7/2020355520943 on 7/15/2020268599526 on 3/4/2021268599526 on 7/7/2021353249694 on 3/4/2022353249694 on 8/31/2022295788355 on 3/14/2023

No. Clients, Historic

603002020202120222023202422 on 3/13/202022 on 6/7/202022 on 7/15/202052 on 3/4/202152 on 7/7/202130 on 3/4/202230 on 8/31/202232 on 3/14/2023

Holdings

From latest 13F, filed October 24th, 2023 for period ending September 30th, 2023
Name Class Value $USD # Shares Private Fund
PIMCO NEW YORK MUN INCOME FD COM 2M 397K –
AIR PRODS & CHEMS INC COM 2M 6K –
AMAZON COM INC COM 4M 28K –
ARBOR REALTY TRUST INC COM 2M 109K –
ARISTA NETWORKS INC COM 368K 2K –
BECTON DICKINSON & CO COM 2M 8K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 4M 11K –
BLACKROCK CR ALLOCATION INCO COM 363K 38K –
BLACKROCK CAP INVT CORP COM 238K 64K –
BOEING CO COM 2M 10K –
CRESCENT CAP BDC INC COM 239K 14K –
CRESTWOOD EQUITY PARTNERS LP UNIT LTD PARTNER 340K 12K –
ELLINGTON RESIDENTIAL MTG RE COM SHS BEN INT 250K 40K –
ENTERPRISE PRODS PARTNERS L COM 770K 28K –
FS KKR CAP CORP COM 2M 120K –
FLAHERTY & CRUMRINE PFD SECS COM 219K 17K –
HERCULES CAPITAL INC COM 536K 33K –
ISHARES TR PFD AND INCM SEC 247K 8K –
ISHARES TR US AER DEF ETF 1M 10K –
KAYNE ANDERSON ENERGY INFRST COM 1M 121K –
KRAFT HEINZ CO COM 437K 13K –
LADDER CAP CORP CL A 3M 272K –
LARGO INC COM 281K 99K –
MICROSOFT CORP COM 2M 7K –
MONROE CAP CORP COM 321K 43K –
NEW MTN FIN CORP COM 257K 20K –
NUVEEN CALIFORNIA AMT QLT MU COM 603K 59K –
NUVEEN NEW YORK AMT QLT MUNI COM 7M 792K –
NUVEEN AMT FREE QLTY MUN INC COM 2M 249K –
OXFORD LANE CAP CORP COM 256K 51K –
PENNANTPARK INVT CORP COM 2M 246K –
PFIZER INC COM 355K 11K –
PIONEER NAT RES CO COM 437K 2K –
REAVES UTIL INCOME FD COM SH BEN INT 2M 66K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 466K 3K –
VANGUARD BD INDEX FDS SHORT TRM BOND 752K 10K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 1M 26K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 3M 29K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 1M 26K –
SEVEN HILLS REALTY TRUST COM 771K 71K –
BLACKROCK MUNIYIELD N Y QUAL COM 3M 348K –
MFS HIGH YIELD MUN TR SH BEN INT 1M 383K –
INVESCO QQQ TR UNIT SER 1 9M 26K –
ESSENTIAL PPTYS RLTY TR INC COM 2M 107K –
KAYNE ANDERSON NEXTGEN ENRGY COM 475K 67K –
UBS AG LONDON BRANCH NT LKD 24 174K 19K –
ALPS ETF TR ALERIAN MLP 754K 18K –
ALPS ETF TR DISRUPTIVE TECH 285K 8K –
ALPHABET INC CAP STK CL C 994K 8K –
ALPHABET INC CAP STK CL A 974K 7K –
ALTRIA GROUP INC COM 5M 120K –
ANGEL OAK FINL STRATEGIES IN COM BEN INT 162K 13K –
MIDCAP FINANCIAL INVSTMNT CO COM NEW 607K 44K –
APOLLO COML REAL EST FIN INC COM 1M 122K –
ARES CAPITAL CORP COM 1M 58K –
ARES COML REAL ESTATE CORP COM 1M 130K –
BAIN CAP SPECIALTY FIN INC COM STK 710K 46K –
BARCLAYS BANK PLC IPTH SR B S&P 503K 22K –
BARINGS BDC INC COM 225K 25K –
BLACKROCK N Y MUN INCOME TRU SH BEN INT 644K 71K –
BLACKROCK MUNIVEST FD INC COM 2M 312K –
BLACKROCK MUNIHLDGS NY QLTY COM 3M 292K –
BLACKROCK CORPOR HI YLD FD I COM 550K 64K –
BLACKROCK FLOATING RATE INCO COM 160K 13K –
BLACKSTONE STRATEGIC CRED 20 COM SHS BEN IN 493K 45K –
BLACKSTONE MTG TR INC COM CL A 1M 53K –
BLACKSTONE SECD LENDING FD COMMON STOCK 285K 10K –
CALAMOS GBL DYN INCOME FUND COM 191K 34K –
CASTLE BIOSCIENCES INC COM 169K 10K –
CLOUGH GLOBAL DIVID & INCOME COM 190K 38K –
CLOUGH GLOBAL EQUITY FD COM 159K 29K –
COHEN & STEERS QUALITY INCOM COM 863K 85K –
COHEN & STEERS LTD DURATION COM 628K 37K –
COHEN & STEERS TAX ADVAN PFD COM 601K 34K –
CONOCOPHILLIPS COM 910K 8K –
DYNEX CAP INC COM 802K 67K –
ETFIS SER TR I VIRTUS INFRCAP 1M 72K –
EATON VANCE LTD DURATION INC COM 179K 20K –
ELLINGTON FINANCIAL INC COM 420K 34K –
ENERGY TRANSFER L P COM UT LTD PTN 3M 222K –
FIRST TR INTER DURATN PFD & COM 219K 15K –
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 1M 13K –
GANNETT CO INC COM 148K 60K –
GLOBAL X FDS INTERNET OF THNG 337K 11K –
GOLDMAN SACHS BDC INC SHS 687K 47K –
GOLUB CAP BDC INC COM 353K 24K –
GRANITE PT MTG TR INC COM STK 370K 76K –
GREAT AJAX CORP COM 377K 59K –
HESS CORP COM 918K 6K –
HIGHLAND OPPORTUNITIES HIGHLAND INCOME 312K 39K –
INVESCO TR INVT GRADE NEW YO COM 2M 170K –
INVESCO QUALITY MUN INCOME T COM 2M 245K –
INVESCO EXCH TRADED FD TR II NASDAQNXTGEN100 948K 38K –
ISHARES TR MORTGE REL ETF 280K 13K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 246K 5K –
KKR REAL ESTATE FIN TR INC COM 2M 154K –
KINDER MORGAN INC DEL COM 2M 104K –
LISTED FD TR SWAN HEDGED EQTY 362K 20K –
MPLX LP COM UNIT REP LTD 587K 17K –
RITHM CAPITAL CORP COM NEW 612K 66K –
NUVEEN NEW YORK QLT MUN INC COM 5M 486K –
NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 2M 148K –
NUVEEN AMT FREE MUN CR INC F COM 2M 160K –
NUVEEN PFD & INCOME OPPORTUN COM 2M 357K –
NUVEEN CR STRATEGIES INCOME COM SHS 709K 140K –
NUVEEN PFD & INCOME TERM FD COM 391K 23K –
NUVEEN VRIABL RAT PFD & INM COM 182K 12K –
OAKTREE SPECIALTY LENDING CO COM 2M 90K –
ONEMAIN HLDGS INC COM 1M 34K –
BLUE OWL CAPITAL CORPORATION COM 395K 28K –
PENNYMAC MTG INVT TR COM 290K 23K –
PIMCO MUN INCOME FD II COM 2M 280K –
PIMCO NEW YORK MUN FD II COM 2M 282K –
PIMCO INCOME STRATEGY FD II COM 81K 12K –
PIMCO DYNAMIC INCOME FD SHS 646K 37K –
PROSHARES TR SHORT QQQ NEW 2M 195K –
PURECYCLE TECHNOLOGIES INC COM 194K 35K –
READY CAPITAL CORP COM 2M 207K –
SPDR S&P 500 ETF TR TR UNIT 16M 38K –
SPDR GOLD TR GOLD SHS 2M 10K –
SPDR SER TR S&P DIVID ETF 575K 5K –
SALESFORCE INC COM 377K 2K –
SARATOGA INVT CORP COM NEW 1M 42K –
SIXTH STREET SPECIALTY LENDI COM 484K 24K –
SLR INVESTMENT CORP COM 637K 41K –
STARWOOD PPTY TR INC COM 2M 120K –
3M CO COM 800K 9K –
TRIPLEPOINT VENTURE GROWTH B COM 1M 121K –
VANECK ETF TRUST BDC INCOME ETF 1M 64K –
VANECK ETF TRUST MORTGAGE REIT 216K 19K –
VANECK ETF TRUST MRNGSTR WDE MOAT 3M 35K –
VERIZON COMMUNICATIONS INC COM 1M 32K –
VERTIV HOLDINGS CO COM CL A 735K 20K –
PARAMOUNT GLOBAL CLASS B COM 272K 21K –
VIRTUS CONVERTIBLE & INCOME COM 395K 127K –
VOYA GLBL EQTY DIV & PREM OP COM 492K 100K –
ALLSPRING INCOME OPPORTUNIT INC OPPTY FD 343K 56K –
XAI OCTAGON FLOATING RATE & COM 1M 214K –