SEC-registered independent wealth management RIA
NK Capital LLC
As of its Form ADV filed March 31, 2026, NK Capital LLC, an SEC-registered independent wealth management RIA in New York, reported $109.2 million in regulatory assets under management across 9 accounts, ranking #436 among independent RIAs in New York by assets.
Registration
- Main office
- NY
- Registration
- SEC-registered, Approved
- CRD number
- 318615
- SEC file number
- 801-128818
- Registered since
- September 29, 2023
- Latest Form ADV filing
- March 31, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $109.2 million
- Discretionary
- $109.2 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 9 (9 discretionary)
- Clients
- 4, approximate as reported
- Employees
- 2
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $12.1 million
- Asset growth, 1 year
- 200.2% (from $36.4 million a year earlier)
- Asset growth, 3-year annual rate
- 58.6% (from $27.4 million three years earlier)
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 100.0% (from 2)
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 | #7,604 | #436 | $109.2 million |
| Independent RIAs with the biggest asset gains over one year | #2,641 | #167 | $72.8 million |
| Independent RIAs with the most clients | #19,130 | #1,094 | 4 |
| Independent RIAs with the most accounts | #17,791 | #992 | 9 |
| Independent RIAs with the most advisory staff | #6,488 | #386 | 2 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 5, 2023 | $27.4 million |
| October 1, 2024 | $29.7 million |
| September 2, 2025 | $36.4 million |
| October 2, 2026 | $109.2 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals fewer than 5 clients | $67.7 million | |
| Pooled investment vehicles 4 clients | $41.5 million |
How the firm is paid
- A percentage of assets under management
- Performance-based fees
Advisory services
- Portfolio management for individuals or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses or institutional clients
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)
- Sponsor, general partner or managing member of pooled investment vehicles
Advises 2 private funds (Item 7.B).
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 0
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 0
IAR registrations by jurisdiction are not available for this firm. 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 |
|---|---|---|
| Meadowbrook Wealth Management, LLC | Garden City | $110.1 million |
| Bentham Wealth Advisors | Williamsville | $110.1 million |
| Gilbert Financial, LLC | Honeoye Falls | $109.8 million |
| Federmann Financial Advisors Inc. | Rocky Point | $108.2 million |
| Newman Ladd Capital Advisors, LLC. | Camillus | $108.1 million |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- NK Capital LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.nkcapllc.com
- 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.