Broker-dealer firm · Stamford, CT
Philosmith Capital Corporation
SEC-registered investment adviser · CRD 162082 · SEC 801-76154
At a glance
Philosmith Capital Corporation is an SEC-registered investment adviser based in Stamford, Connecticut, with $380 million in regulatory assets under management as of its Form ADV filed March 26, 2026. Its largest client group by assets is insurance companies. By Form ADV it is a broker-dealer firm, ranked 225th of 391 broker-dealer firms and 9,034th of 17,210 SEC-registered advisers by assets.
Main office 203-348-7365philosmith.comAs filed on Form ADV
- Regulatory AUM
- $380M
- Rank among broker-dealer firms
- #225 of 391
- Rank among all SEC RIAs
- #9,034 of 17,210
- Rank in Connecticut
- #343 of 507
- Clients
- 3
- Accounts
- 3
- Discretionary
- 100% of AUM
- Employees
- 9
- Advisory staff
- 6
- Offices
- 1
Owners and executives on its Form ADV
- James E. InglisVice President, Secretary & Treasurer
- James A. AmenPresident
- Michele C. OgradyVice President & CCO
- Francis J. HagertyVice President
- David A. SalmonVice President
Custody and brokerage
Broker-dealer
Hybrid RIA
Philosmith Capital Corporation is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Philosmith Securities LLC.
- Philosmith Securities LLC ↗CRD 281177
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Insurance companies | 2 | $341M | 90% |
| Pooled investment vehicles | 1 | $39M | 10% |
Private funds
Philosmith Capital Corporation reports 1 private funds with $39M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Philosmith Capital Corporation reports no disciplinary disclosures in Item 11 of Form ADV. 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
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗philosmith.com ↗
AtlasMembers
The full record on Philosmith Capital Corporation
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
- Locked
- Growth over one, three and five years
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- Rank against 163 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Philosmith Capital Corporation manage?
Philosmith Capital Corporation reports $380 million in regulatory assets under management across 3 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 26, 2026.
What kind of firm is Philosmith Capital Corporation?
Philosmith Capital Corporation is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Philosmith Capital Corporation’s clients?
By assets, its largest client types are insurance companies ($341 million, 2 clients); pooled investment vehicles ($39 million, 1 clients).
Does Philosmith Capital Corporation manage private funds?
Yes. It reports 1 private funds with $39 million in gross assets, including hedge funds.
Does Philosmith Capital Corporation have any disciplinary history?
Philosmith Capital Corporation 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 Philosmith Capital Corporation’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 (2026-03-26), 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 →