SEC-registered wealth management firm Broker-dealer affiliated
Quint Capital Management
As of its Form ADV filed September 28, 2026, Quint Capital Management, an SEC-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $875.0 million in regulatory assets under management across 85 accounts, ranking #154 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 26586
- SEC file number
- 801-128990
- Registered since
- November 8, 2023
- Latest Form ADV filing
- September 28, 2026
- Legal name
- QUINT CAPITAL CORPORATION
- Organized as
- Corporation
- Fiscal year ends
- June
- Other offices
- 0
Key figures
- Regulatory assets under management
- $875.0 million
- Discretionary
- $750.0 million (85.7%)
- Non-discretionary
- $125.0 million
- Accounts
- 85 (60 discretionary)
- Clients
- 80, approximate as reported
- Employees
- 15
- Advisory staff
- 9 performing investment advisory functions
- Average account
- $10.3 million
- Asset growth, 1 year
- 492.9% (from $147.6 million a year earlier)
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- -20.8% (from 101)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. 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 all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2024 | $147.6 million |
| September 2, 2025 | $147.6 million |
| October 2, 2026 | $875.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 60 clients | $750.0 million | |
| Pension and profit sharing plans 20 clients | $125.0 million | |
| Individuals (other than high net worth) fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Registered representative of a broker-dealer
- Insurance broker or agent
- Other financial products
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Insurance company or agency
- Sponsor or syndicator of limited partnerships
- Sponsor, general partner or managing member of pooled investment vehicles
Advises 1 private fund (Item 7.B).
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 8
- Also registered through a broker-dealer
- 8
- Employees who are IARs (Form ADV 5.B(3))
- 9
Between 5 and 8 of the firm's 8 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 5 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 |
|---|---|---|
| Navis Wealth Advisors LLC | Rye Brook | $902.2 million |
| Maytech Global Investments | New York | $895.1 million |
| Autopilot | New York | $892.4 million |
| Transatlantique Private Wealth LLC | New York | $878.8 million |
| Circle Advisers Inc | New York | $868.2 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Quint Capital Management on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.quintcapital.com
- Wealth management firms 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.