SEC-registered independent wealth management RIA
RM Sincerbeaux Capital Management, LLC.
As of its Form ADV filed March 24, 2026, RM Sincerbeaux Capital Management, LLC., an SEC-registered independent wealth management RIA in New York, New York, reported $227.1 million in regulatory assets under management across 23 accounts, ranking #285 among independent RIAs in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 145159
- SEC file number
- 801-68388
- Registered since
- October 15, 2007
- Latest Form ADV filing
- March 24, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $227.1 million
- Discretionary
- $223.7 million (98.5%)
- Non-discretionary
- $3.3 million
- Accounts
- 23 (20 discretionary)
- Clients
- 15, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $9.9 million
- Asset growth, 1 year
- -1.3% (from $230.0 million a year earlier)
- Asset growth, 3-year annual rate
- 7.4% (from $183.0 million three years earlier)
- Asset growth, 5-year annual rate
- 5.3% (from $175.6 million five years earlier)
- Client growth, 1 year
- 0.0% (from 15)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In New York | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #4,927 | #285 | $227.1 million |
| Fastest-growing independent RIAs over one year | #6,410 | #361 | -1.3%from $230.0 million |
| Fastest-growing independent RIAs over three years | #4,680 | #258 | 7.4%from $183.0 million |
| Fastest-growing independent RIAs over five years | #3,770 | #201 | 5.3%from $175.6 million |
| Independent RIAs with the most clients | #16,769 | #930 | 15 |
| Independent RIAs with the most accounts | #15,980 | #860 | 23 |
| Independent RIAs with the most advisory staff | #10,188 | #598 | 1 |
| Independent RIAs with the most high net worth clients | #10,559 | #583 | 15 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $101.6 million |
| October 3, 2011 | $103.2 million |
| October 1, 2012 | $90.5 million |
| October 1, 2013 | $111.8 million |
| October 1, 2014 | $144.7 million |
| October 1, 2015 | $156.4 million |
| October 3, 2016 | $133.3 million |
| October 2, 2017 | $153.8 million |
| October 1, 2018 | $155.0 million |
| October 1, 2019 | $149.5 million |
| October 1, 2020 | $166.2 million |
| October 4, 2021 | $175.6 million |
| October 3, 2022 | $198.1 million |
| October 5, 2023 | $183.0 million |
| October 1, 2024 | $178.0 million |
| September 2, 2025 | $230.0 million |
| October 2, 2026 | $227.1 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 15 clients | $227.1 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported custody of client cash or securities, $361,559 in total.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
0 of the firm's 1 IAR are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Hemisphere Partners LLC | New York | $228.9 million |
| Beacon Financial Advisors | Rye Brook | $228.0 million |
| Magnolia Capital Management | Cold Spring | $227.7 million |
| Professional Financial | Pittsford | $225.8 million |
| Prato Capital Management | White Plains | $224.6 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- RM Sincerbeaux Capital Management, LLC. on IAPD: Form ADV, brochures and disclosure detail.
- Independent RIAs in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.