Private fund adviser · New York, NY
Willow Wealth
Willow Asset Management LLC · SEC-registered investment adviser · CRD 282487 · SEC 801-107574
At a glance
Willow Wealth is an SEC-registered investment adviser based in New York, New York, with $1.6 billion in regulatory assets under management as of its Form ADV filed June 15, 2026. Its largest client group by assets is pooled investment vehicles, and it reports 227 individual clients. By Form ADV it is a private fund adviser, ranked 1,849th of 4,686 private fund advisers and 4,062nd of 17,210 SEC-registered advisers by assets.
Main office 844-943-5378willowwealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.6B
- Rank among private fund advisers
- #1,849 of 4,686
- Rank among all SEC RIAs
- #4,062 of 17,210
- Rank in New York
- #951 of 2,591
- Individual clients
- 227
- High-net-worth clients
- 11
- Accounts
- 411
- Discretionary
- 100% of AUM
- Employees
- 105
- Advisory staff
- 26
- Offices
- 2
Owners and executives on its Form ADV
- Mitchell H. CaplanChief Executive Officer
- Karan A. VaziraniChief Financial Officer
- Jeffrey MoskatelChief Compliance Officer
- Thomas N. WilliamsChief Investment Officer
Custody and brokerage
Custodian
Willow Wealth’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
Willow Wealth is a hybrid RIA: 12 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Willow Wealth Markets LLC.
- Willow Wealth Markets LLC ↗CRD 172295
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 180 | $1.5B | 90% |
| Investment companies | 1 | $149M | 9% |
| Individuals | 216 | $10M | <1% |
| High-net-worth individuals | 11 | $1M | <1% |
| Pension and profit sharing plans | 2 | $0M | <1% |
| Charitable organizations | 1 | $0M | <1% |
Private funds
Willow Wealth reports 120 private funds with $917M in gross assets: private equity funds, real estate funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Willow Wealth answers yes to 4 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 investment companies
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗willowwealth.com ↗
AtlasMembers
The full record on Willow Wealth
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, 9 years of filings
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- Growth over one, three and five years
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- Rank against 1,934 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
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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 Willow Wealth manage?
Willow Wealth reports $1.6 billion in regulatory assets under management across 411 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 15, 2026.
What kind of firm is Willow Wealth?
Willow Wealth is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Willow Wealth’s clients?
By assets, its largest client types are pooled investment vehicles ($1.5 billion, 180 clients); investment companies ($149 million, 1 clients); individuals ($10 million, 216 clients).
Does Willow Wealth manage private funds?
Yes. It reports 120 private funds with $917 million in gross assets, including private equity funds, real estate funds, other private funds.
Does Willow Wealth have any disciplinary history?
Willow Wealth answers yes to 4 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 Willow Wealth’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 (2026-06-15), 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 →