SEC-registered wealth management firm Broker-dealer affiliated
Qapital Invest, LLC
As of its Form ADV filed September 30, 2026, Qapital Invest, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $52.2 million in regulatory assets under management across 38,446 accounts, ranking #682 among all wealth firms in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 283762
- SEC file number
- 801-112184
- Registered since
- December 19, 2017
- Latest Form ADV filing
- September 30, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- June
- Other offices
- 0
Key figures
- Regulatory assets under management
- $52.2 million
- Discretionary
- $52.2 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 38,446 (38,446 discretionary)
- Clients
- 38,446, approximate as reported
- Employees
- 9
- Advisory staff
- 1 performing investment advisory functions
- Average account
- $1,358
- Asset growth, 1 year
- 41.1% (from $37.0 million a year earlier)
- Asset growth, 3-year annual rate
- 15.2% (from $34.2 million three years earlier)
- Asset growth, 5-year annual rate
- 17.7% (from $23.1 million five years earlier)
- Client growth, 1 year
- -10.5% (from 42,960)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. 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 3, 2016 | $0 |
| October 1, 2018 | $0 |
| October 1, 2019 | $4.7 million |
| October 1, 2020 | $11.9 million |
| October 4, 2021 | $23.1 million |
| October 3, 2022 | $39.1 million |
| October 5, 2023 | $34.2 million |
| October 1, 2024 | $37.0 million |
| September 2, 2025 | $37.0 million |
| October 2, 2026 | $52.2 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 38,446 clients | $52.2 million |
How the firm is paid
- Fixed fees
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)
- Broker-dealer
- Other investment adviser
- Municipal advisor
- Swap dealer
- Futures commission merchant
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $6.0 million 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 |
|---|---|---|
| Royale Asset Management LLC | Rochester | $52.7 million |
| Lowell Road Asset Management, Inc. | Manhasset | $52.5 million |
| Wealthpro, LLC | Gloversville | $52.4 million |
| Main Street Management Company | Aquebogue | $51.8 million |
| Stash Wealth, LLC | New York | $51.7 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Qapital Invest, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.qapital.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.