State-registered wealth management firm Broker-dealer affiliated
9D Capital LLC
As of its Form ADV filed September 14, 2026, 9D Capital LLC, a state-registered, broker-dealer affiliated wealth management firm in New York, New York, reported $10.6 million in regulatory assets under management across 9 accounts, ranking #973 among all wealth firms in New York by assets.
Registration
- Registration
- State-registered, Approved
- CRD number
- 308524
- SEC file number
- None (state-registered)
- Registered since
- April 9, 2020
- Latest Form ADV filing
- September 14, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 2
Key figures
- Regulatory assets under management
- $10.6 million
- Discretionary
- $10.6 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 9 (9 discretionary)
- Clients
- 6, approximate as reported
- Employees
- 3
- Advisory staff
- 3 performing investment advisory functions
- Average account
- $1.2 million
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
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 7, 2026 | $10.6 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals fewer than 5 clients | $9.9 million | |
| Individuals (other than high net worth) 5 clients | $701,524 |
How the firm is paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Selection of other advisers
- Educational seminars or workshops
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)
- Registered representative of a broker-dealer
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $10.6 million in total.
Investment adviser representatives
- IARs registered with the firm
- 3
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 0
0 of the firm's 3 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. 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 |
|---|---|---|
| Huygens Capital LLC | White Plains | $10.7 million |
| Craft Wealth Management LLC | Garden City | $10.7 million |
| Pledge Capital LLC | Great Neck | $10.6 million |
| O'Gorman Asset Management, Inc. | Valley Cottage | $10.6 million |
| Delta & Gamma Capital Management LLC | New York | $10.5 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- 9D Capital LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.9d.capital
- Wealth management firms in New York
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.