Broker-dealer firm · New York, NY
Quint Capital Management
Quint Capital Corporation · SEC-registered investment adviser · CRD 26586 · SEC 801-128990
At a glance
Quint Capital Management is an SEC-registered investment adviser based in New York, New York, with $875 million in regulatory assets under management as of its Form ADV filed September 28, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 60 individual clients. By Form ADV it is a broker-dealer firm, ranked 174th of 391 broker-dealer firms and 5,800th of 17,210 SEC-registered advisers by assets.
Main office 212-682-5090quintcapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $875M
- Rank among broker-dealer firms
- #174 of 391
- Rank among all SEC RIAs
- #5,800 of 17,210
- Rank in New York
- #1,220 of 2,591
- Individual clients
- 60
- High-net-worth clients
- 60
- Accounts
- 85
- Discretionary
- 86% of AUM
- Employees
- 15
- Advisory staff
- 9
- Offices
- 1
Owners and executives on its Form ADV
- Alexander Norman QuintCEO
- Robert William PetersFinop
- Corrie Faulk Davis ScobyChief Compliance Officer
Custody and brokerage
Custodian
Quint 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
Quint Capital Management is a hybrid RIA: 12 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 60 | $750M | 86% |
| Pension and profit sharing plans | 20 | $125M | 14% |
Private funds
Quint Capital Management reports 1 private funds with $1M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Quint Capital Management answers yes to 6 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
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗quintcapital.com ↗
AtlasMembers
The full record on Quint 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, 2 years of filings
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- Growth over one, three and five years
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- Rank against 134 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 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 Quint Capital Management manage?
Quint Capital Management reports $875 million in regulatory assets under management across 85 accounts, 86% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
What kind of firm is Quint Capital Management?
Quint Capital Management 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 Quint Capital Management’s clients?
By assets, its largest client types are high-net-worth individuals ($750 million, 60 clients); pension and profit sharing plans ($125 million, 20 clients).
Does Quint Capital Management manage private funds?
Yes. It reports 1 private funds with $1 million in gross assets, including hedge funds.
Does Quint Capital Management have any disciplinary history?
Quint Capital Management answers yes to 6 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 Quint 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 (2026-09-28), 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 →