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NBT CAPITAL MANAGEMENT, INC.
CRD 104932File 801-30786
APPROVED
Retail clients
Custody
Filing as of Sep 29, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.61B
Top 25% of cohort (national)
Discretionary AUM
$1.24B
Non-discretionary $365.8M
Clients
786
1,308 accounts
Employees
12
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Nov 23, 1987
- Principal office
- 52 SOUTH BROAD STREET, NORWICH, NY, 13815
- Phone
- 607-584-4141
- Website
- https://www.nbtcapm.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.61B
- Discretionary AUM
- $1.24B
- Non-discretionary AUM
- $365.8M
- Discretionary accounts
- 1,211
- Non-discretionary accounts
- 97
- Total accounts
- 1,308
- AUM per client
- $2.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 84 | $253.6M |
| Pension and profit sharing plans | 392 | $1.26B |
| Individuals (other than high net worth individuals) | 310 | $99.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 939 | 786 | decreased by153 |
| Apr 1, 2026 | AUM | $1,494,546,162 | $1,608,495,723 | increased by$113,949,561 |
| Apr 1, 2026 | Accounts | 1,384 | 1,308 | decreased by76 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 17 | 15 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 696 | 939 | increased by243 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,725,466,935 | $1,494,546,162 | decreased by$230,920,773 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,216 | 1,384 | increased by168 |
| May 1, 2022 | Employees | 15 | 17 | increased by2 |
| May 1, 2022 | Clients | 626 | 696 | increased by70 |
| May 1, 2022 | AUM | $1,521,051,831 | $1,725,466,935 | increased by$204,415,104 |
| May 1, 2022 | Accounts | 1,087 | 1,216 | increased by129 |
| Apr 1, 2022 | Employees | 14 | 15 | increased by1 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Clients | 555 | 626 | increased by71 |
| Apr 1, 2022 | AUM | $1,357,065,791 | $1,521,051,831 | increased by$163,986,040 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NBT CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NBT CAPITAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.