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KATE CAPITAL LLC

WESTPORT, CT · CRD 329897 · IAPD ↗ · katecapllc.com · 203-216-9667

$206.8MRegulatory AUM
6Advisory reps
8Employees
0Clients
0Planning clients
1Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

30
April 2025 — KATE CAPITAL LLC moved its main office from STAMFORD, CT to WESTPORT, CT.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
50
April 2025 — KATE CAPITAL LLC now reports custody of client assets ($37.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
53
April 2025 — KATE CAPITAL LLC grew from 2 to 5 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
February 2025 — KATE CAPITAL LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
55
January 2025 — KATE CAPITAL LLC now reports 3 private fund(s) ($37.4M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
December 2024 — KATE CAPITAL LLC (STAMFORD, CT) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 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.