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NBT CAPITAL MANAGEMENT, INC.

NORWICH, NY · CRD 104932 · IAPD ↗ · clevelandhauswirth.com · 607-584-4141

$1.61BRegulatory AUM
6Advisory reps
12Employees
0Clients
0Planning clients
0Private funds
21States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
October 2026 — NBT CAPITAL MANAGEMENT, INC. notice-filed in AZ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
October 2026 — NBT CAPITAL MANAGEMENT, INC. added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
50
July 2026 — NBT CAPITAL MANAGEMENT, INC. moved its main office from JOHNSON CITY, NY to NORWICH, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
73
April 2026 — NBT CAPITAL MANAGEMENT, INC. grew from 4 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
30
May 2025 — NBT CAPITAL MANAGEMENT, INC. changed its website from navigateretirement.com to clevelandhauswirth.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand
49
April 2025 — NBT CAPITAL MANAGEMENT, INC. notice-filed in OH, SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — NBT CAPITAL MANAGEMENT, INC. shrank from 8 to 4 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
63
April 2025 — NBT CAPITAL MANAGEMENT, INC. reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
30
July 2024 — NBT CAPITAL MANAGEMENT, INC. changed its website from nbtcapm.com to navigateretirement.com.
Primary website domain changed (social-media URLs ignored) — usually a rebrand or new site.
Marketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.