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OPENGATE CAPITAL MANAGEMENT, LLC

NEW YORK, NY · CRD 213518 · IAPD ↗ · 212-400-7400

$666.8MRegulatory AUM
15Advisory reps
25Employees
0Clients
n/aPlanning clients
11Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

33
April 2026 — OPENGATE CAPITAL MANAGEMENT, LLC reported RAUM down 37% ($1.06B -> $666.8M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
38
April 2026 — OPENGATE CAPITAL MANAGEMENT, LLC shrank from 20 to 15 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
32
April 2025 — OPENGATE CAPITAL MANAGEMENT, LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
35
April 2025 — OPENGATE CAPITAL MANAGEMENT, LLC reported RAUM down 30% ($1.51B -> $1.06B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
35
April 2025 — OPENGATE CAPITAL MANAGEMENT, LLC moved its main office from LOS ANGELES, CA to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
40
April 2025 — OPENGATE CAPITAL MANAGEMENT, LLC shrank from 30 to 20 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
February 2025 — OPENGATE CAPITAL MANAGEMENT, LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2024 — OPENGATE CAPITAL MANAGEMENT, LLC grew from 22 to 30 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

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