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NBW CAPITAL LLC

BOSTON, MA · CRD 147306 · IAPD ↗ · 617-482-2222

$0Regulatory AUM
3Advisory reps
3Employees
0Clients
0Planning clients
0Private funds
13States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
June 2026 — NBW CAPITAL LLC (BOSTON, MA) left the SEC roster (was $0 RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
49
April 2025 — NBW CAPITAL LLC notice-filed in CO, ME, NV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2024 — NBW CAPITAL LLC notice-filed in AZ, VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2024 — NBW CAPITAL LLC crossed $500M in regulatory AUM ($456.2M -> $525.3M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

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