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Broker-dealer firm

Wardroom Partners

SEC-registered investment adviser · CRD 315511 · SEC 801-122346

At a glance

Wardroom Partners is an SEC-registered investment adviser based in United States, with $206 million in regulatory assets under management as of its Form ADV filed September 22, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a broker-dealer firm, ranked 281st of 391 broker-dealer firms and 12,100th of 17,210 SEC-registered advisers by assets.

Regulatory AUM
$206M
Rank among broker-dealer firms
#281 of 391
Rank among all SEC RIAs
#12,100 of 17,210
Clients
25
Accounts
25
Discretionary
100% of AUM
Employees
4
Advisory staff
3
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Wardroom Partners’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

Wardroom Partners is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Kelson Capital LLC.

Its Form ADV brochure (filed March 2026) names Kelson Capital as the broker-dealer its advisers are registered with.

ng investment advice on behalf of our firm are registered representatives with Kelson Capital, LLC, a securities broker -dealer, and a member of the Financial Industry Regulatory Authority and the Securities Investor Protection Corporation

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Pooled investment vehicles25$206M100%

Private funds

Wardroom Partners reports 23 private funds with $194M in gross assets: private equity funds (Form ADV Item 7.B).

Disciplinary disclosures

Wardroom Partners reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for pooled investment vehicles

How it’s paid

  • Fixed fees
  • Performance-based fees

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on Wardroom Partners

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
Locked
Growth over one, three and five years
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Rank against 152 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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Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Wardroom Partners manage?

Wardroom Partners reports $206 million in regulatory assets under management across 25 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 22, 2026.

What kind of firm is Wardroom Partners?

Wardroom Partners 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 Wardroom Partners’s clients?

By assets, its largest client types are pooled investment vehicles ($206 million, 25 clients).

Does Wardroom Partners manage private funds?

Yes. It reports 23 private funds with $194 million in gross assets, including private equity funds.

Does Wardroom Partners have any disciplinary history?

Wardroom Partners 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 Wardroom Partners’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 (2026-09-22), 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 →