Asset manager · New York, NY
Allies Capital Management
Allies Capital Management, LLC · SEC-registered investment adviser · CRD 319640 · SEC 801-125888
At a glance
Allies Capital Management is an SEC-registered investment adviser based in New York, New York, with $25 million in regulatory assets under management as of its Form ADV filed February 20, 2026. Its largest client group by assets is corporations or other businesses. By Form ADV it is a asset manager, ranked 2,498th of 3,218 asset managers and 16,178th of 17,210 SEC-registered advisers by assets.
Main office 212-380-7500As filed on Form ADV
- Regulatory AUM
- $25M
- Rank among asset managers
- #2,498 of 3,218
- Rank among all SEC RIAs
- #16,178 of 17,210
- Rank in New York
- #2,463 of 2,591
- Clients
- 1
- Accounts
- 1
- Discretionary
- 100% of AUM
- Employees
- 1
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Michael KleinChief Executive Officer
- James J. MurrayChief Compliance Officer
Custody and brokerage
Custodian
Allies Capital Management’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Allies Capital Management is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed February 2026) names The Klein Group as the broker-dealer its advisers are registered with.
Additionally, employees and management persons of ACM are registered representatives of TKG.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 1 | $25M | 100% |
Disciplinary disclosures
Allies Capital Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Allies Capital Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 153 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Allies Capital Management manage?
Allies Capital Management reports $25 million in regulatory assets under management across 1 accounts, 100% of it on a discretionary basis, on its Form ADV filed February 20, 2026.
What kind of firm is Allies Capital Management?
Allies Capital Management is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Allies Capital Management’s clients?
By assets, its largest client types are corporations or other businesses ($25 million, 1 clients).
Does Allies Capital Management have any disciplinary history?
Allies Capital Management reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Allies Capital Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-02-20), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →