MONTGOMERY CAPITAL ADVISORS LLC
Adviser information for MONTGOMERY CAPITAL ADVISORS LLC last updated from Form ADV on January 22nd, 2024. 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 | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 83 | $100.0M |
| Non-Discretionary | 0 | $0 |
| Total | 83 | $100.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 33 | $48.7M |
| HNW Individuals | 18 | $51.3M |
| 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 | 51 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-64964 |
|---|---|
| SEC ERA File Number | 801-64964 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 138148 |
| Legal Entity Identifier | None |
Principal Office
485 MADISON AVENUE7TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-201-7911, Fax: 212-586-7505
Websites
Chief Compliance Officer
STEPHEN KINSELLA
MEMBER
485 MADISON AVENUE
7TH FLOOR
NEW YORK
NY
United States
Tel:
212 201 7911
Fax:
212 586 7505
S****@**************T
(Full email address available in API data)
Regulatory Contact
MARK J. MONTGOMERY
PRESIDENT
485 MADISON AVENUE
7TH FLOOR
NEW YORK
NY
United States
Tel:
212 201-7911
Fax:
212 586-7505
M***@**************T
(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 |
|---|---|---|---|---|---|
| MONTGOMERY, MARK, JULIAN | Individual | – | PRESIDENT, MANAGING MEMBER | 07/2005 | 50-75% |
| KINSELLA, STEPHEN, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER, MEMBER | 09/2007 | 25-50% |