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NINE MASTS CAPITAL ADVISERS LLC

NEW YORK, NY · CRD 322775 · IAPD ↗ · ninemasts.com · 85228689973

$484.6MRegulatory AUM
3Advisory reps
4Employees
1Clients
n/aPlanning clients
0Private funds
0States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

60
April 2026 — NINE MASTS CAPITAL ADVISERS LLC grew from 1 to 3 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
38
December 2025 — NINE MASTS CAPITAL ADVISERS LLC moved its main office from HONG KONG, to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
40
April 2025 — NINE MASTS CAPITAL ADVISERS LLC crossed $500M in regulatory AUM ($100.0M -> $508.7M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
65
October 2024 — NINE MASTS CAPITAL ADVISERS LLC (HONG KONG, Hong Kong) is newly SEC-registered with $100.0M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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