Wealth manager, wrap-program sponsor · Williamsville, NY
Northcape Wealth Management
Northcape Wealth Management, LLC · SEC-registered investment adviser · CRD 312350 · SEC 801-120425
At a glance
Northcape Wealth Management is an SEC-registered investment adviser based in Williamsville, New York, with $706 million in regulatory assets under management as of its Form ADV filed August 17, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 570 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 2,125th of 8,915 wealth managers and 6,514th of 17,210 SEC-registered advisers by assets.
northcapewm.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $706M
- Rank among wealth managers
- #2,125 of 8,915
- Rank among all SEC RIAs
- #6,514 of 17,210
- Rank in New York
- #1,320 of 2,591
- Individual clients
- 570
- High-net-worth clients
- 166
- Accounts
- 1,394
- Discretionary
- 94% of AUM
- Employees
- 6
- Advisory staff
- 3
- Offices
- 2
Owners and executives on its Form ADV
- Erik M. O'NeillFounder, Managing Partner
- Kenji J KimuraChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 166 | $535M | 76% |
| Individuals | 404 | $139M | 20% |
| Charitable organizations | 16 | $22M | 3% |
| Corporations or other businesses | 8 | $10M | 1% |
Disciplinary disclosures
Northcape Wealth Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗northcapewm.com ↗
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The full record on Northcape Wealth 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, 4 years of filings
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- Growth over one, three and five years
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- Rank against 4,477 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
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Northcape Wealth Management manage?
Northcape Wealth Management reports $706 million in regulatory assets under management across 1,394 accounts, 94% of it on a discretionary basis, on its Form ADV filed August 17, 2026.
What kind of firm is Northcape Wealth Management?
Northcape Wealth Management 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 Northcape Wealth Management’s clients?
By assets, its largest client types are high-net-worth individuals ($535 million, 166 clients); individuals ($139 million, 404 clients); charitable organizations ($22 million, 16 clients).
Does Northcape Wealth Management have any disciplinary history?
Northcape Wealth 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 Northcape Wealth 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 (2026-08-17), 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 →