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OVERLOCK CAPITAL LLC

WASHINGTON, DC · CRD 330427 · IAPD ↗ · overlockcapital.com · 202-670-2574

$115.2MRegulatory AUM
3Advisory reps
4Employees
0Clients
n/aPlanning clients
0Private funds
0States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
January 2025 — OVERLOCK CAPITAL LLC (WASHINGTON, DC) left the SEC roster (was $115.2M RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
70
September 2024 — OVERLOCK CAPITAL LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
May 2024 — OVERLOCK CAPITAL LLC (WASHINGTON, DC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 4 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.