Asset manager · New York, NY
Odeon Capital Advisors LLC
SEC-registered investment adviser · CRD 307619 · SEC 801-119007
At a glance
Odeon Capital Advisors LLC is an SEC-registered investment adviser based in New York, New York, with $967 million in regulatory assets under management as of its Form ADV filed September 15, 2026. Its largest client group by assets is corporations or other businesses, and it reports 29 individual clients. By Form ADV it is a asset manager, ranked 1,381st of 3,218 asset managers and 5,474th of 17,210 SEC-registered advisers by assets.
Main office 646-214-7647odeonadvisors.comAs filed on Form ADV
- Regulatory AUM
- $967M
- Rank among asset managers
- #1,381 of 3,218
- Rank among all SEC RIAs
- #5,474 of 17,210
- Rank in New York
- #1,168 of 2,591
- Individual clients
- 29
- High-net-worth clients
- 21
- Accounts
- 35
- Discretionary
- 4% of AUM
- Employees
- 10
- Advisory staff
- 8
- Offices
- 1
Owners and executives on its Form ADV
- Evan SchwartzbergMember
- Mathew H. Van AlstyneManaging Member
- Craig A. MatthewChief Compliance Officer
- Scott J SvensonPresident
Custody and brokerage
2 custodians
- Interactive Brokers$702M>99%
- RBC$4M<1%
Other RIAs using Interactive BrokersOther multi-custodian RIAs
Broker-dealer
Hybrid RIA
Odeon Capital Advisors LLC is a hybrid RIA: 7 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Odeon Capital Group LLC.
- Odeon Capital Group LLC ↗CRD 148493
An introducing broker-dealer: its trades clear through RBC Capital Markets, which holds the brokerage accounts. Its annual audited report filed with the SEC, April 2026
Its Form ADV brochure (filed September 2026) names Odeon Capital Group as the broker-dealer its advisers are registered with.
Dorfman is also an employee and registered representative of Odeon Capital Group LLC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Corporations or other businesses | 4 | $916M | 95% |
| High-net-worth individuals | 21 | $35M | 4% |
| Pooled investment vehicles | 1 | $13M | 1% |
| Individuals | 8 | $4M | <1% |
Private funds
Odeon Capital Advisors LLC reports 1 private funds with $13M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Odeon Capital Advisors LLC 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 pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗odeonadvisors.com ↗
AtlasMembers
The full record on Odeon Capital Advisors LLC
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, 5 years of filings
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- Growth over one, three and five years
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- Rank against 998 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Odeon Capital Advisors LLC manage?
Odeon Capital Advisors LLC reports $967 million in regulatory assets under management across 35 accounts, 4% of it on a discretionary basis, on its Form ADV filed September 15, 2026.
What kind of firm is Odeon Capital Advisors LLC?
Odeon Capital Advisors LLC 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 Odeon Capital Advisors LLC’s clients?
By assets, its largest client types are corporations or other businesses ($916 million, 4 clients); high-net-worth individuals ($35 million, 21 clients); pooled investment vehicles ($13 million, 1 clients).
Does Odeon Capital Advisors LLC manage private funds?
Yes. It reports 1 private funds with $13 million in gross assets, including hedge funds.
Does Odeon Capital Advisors LLC have any disciplinary history?
Odeon Capital Advisors LLC 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 Odeon Capital Advisors LLC’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 (2026-09-15), 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 →