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33 CAPITAL MANAGEMENT LLC

GREENWICH, CT · CRD 326780 · IAPD ↗ · 33capitalmanagement.com · 203-391-9340

$112.7MRegulatory AUM
6Advisory reps
11Employees
0Clients
n/aPlanning clients
2Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

67
April 2025 — 33 CAPITAL MANAGEMENT LLC grew from 4 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
65
September 2024 — 33 CAPITAL MANAGEMENT LLC now reports custody of client assets ($2.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
September 2024 — 33 CAPITAL MANAGEMENT LLC now reports 1 private fund(s) ($2.5M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
75
April 2024 — 33 CAPITAL MANAGEMENT LLC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM

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