Wealth manager, independent · New York, NY
Appomattox Advisory, Inc
SEC-registered investment adviser · CRD 153731 · SEC 801-71652
At a glance
Appomattox Advisory, Inc is an SEC-registered investment adviser based in New York, New York, with $426 million in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 14 individual clients. By Form ADV it is a wealth manager, ranked 3,305th of 8,915 wealth managers and 8,512th of 17,210 SEC-registered advisers by assets.
Main office 212-895-3000appomattox.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $426M
- Rank among wealth managers
- #3,305 of 8,915
- Rank among all SEC RIAs
- #8,512 of 17,210
- Rank in New York
- #1,573 of 2,591
- Individual clients
- 14
- High-net-worth clients
- 14
- Accounts
- 22
- Discretionary
- 16% of AUM
- Employees
- 6
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Susan P. WebbCEO & CIO
- Kristin M. KoloniarisChief Compliance Officer
Custody and brokerage
Custodian
Appomattox Advisory, Inc’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 14 | $379M | 89% |
| Pooled investment vehicles | 7 | $39M | 9% |
| Charitable organizations | 1 | $7M | 2% |
Private funds
Appomattox Advisory, Inc reports 7 private funds with $68M in gross assets: hedge funds, private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Appomattox Advisory, Inc answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
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 ↗appomattox.com ↗
AtlasMembers
The full record on Appomattox Advisory, Inc
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, ten years of filings
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- Growth over one, three and five years
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- Rank against 5,877 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Appomattox Advisory, Inc manage?
Appomattox Advisory, Inc reports $426 million in regulatory assets under management across 22 accounts, 16% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Appomattox Advisory, Inc?
Appomattox Advisory, Inc is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Appomattox Advisory, Inc’s clients?
By assets, its largest client types are high-net-worth individuals ($379 million, 14 clients); pooled investment vehicles ($39 million, 7 clients); charitable organizations ($7 million, 1 clients).
Does Appomattox Advisory, Inc manage private funds?
Yes. It reports 7 private funds with $68 million in gross assets, including hedge funds, private equity funds.
Does Appomattox Advisory, Inc have any disciplinary history?
Appomattox Advisory, Inc answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Appomattox Advisory, Inc’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 (2026-03-27), 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 →