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SQN CAPITAL MANAGEMENT, LLC

NEW YORK, NY · CRD 158704 · IAPD ↗ · sqncapital.com · (212) 422-2166

$75.4MRegulatory AUM
1Advisory reps
3Employees
0Clients
n/aPlanning clients
1Private funds
0States
5Disclosures
fundSegment
ApprovedSEC status

Filing changes

30
April 2025 — SQN CAPITAL MANAGEMENT, LLC reported RAUM down 73% ($282.1M -> $75.4M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
35
April 2025 — SQN CAPITAL MANAGEMENT, LLC shrank from 3 to 1 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
33
April 2024 — SQN CAPITAL MANAGEMENT, LLC reported RAUM down 32% ($414.6M -> $282.1M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
38
April 2024 — SQN CAPITAL MANAGEMENT, LLC's Item 11 disclosure-reporting entries rose by 3 (2 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
38
April 2024 — SQN CAPITAL MANAGEMENT, LLC shrank from 6 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

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