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ADVENT CAPITAL MANAGEMENT, LLC
CRD 113013File 801-60263
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$8.82B
Top 10% of cohort (national)
Discretionary AUM
$8.82B
Clients
421
430 accounts
Employees
58
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- May 14, 2001
- Principal office
- 888 SEVENTH AVENUE, 31ST FLOOR, NEW YORK, NY, 10019
- Phone
- 212-482-1600
- Website
- HTTPS://WWW.ADVENTCAP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $8.82B
- Discretionary AUM
- $8.82B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 430
- Non-discretionary accounts
- 0
- Total accounts
- 430
- AUM per client
- $20.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $143.9M |
| Non-U.S. persons | Fewer than 5 | $171.2M |
| Insurance companies | 26 | $3.29B |
| Investment companies | 2 | $950.3M |
| Charitable organizations | 5 | $195.5M |
| High net worth individuals | 50 | $145.5M |
| Pooled investment vehicles | 8 | $827.4M |
| Pension and profit sharing plans | Fewer than 5 | $159.6M |
| State or municipal government entities | 28 | $2.82B |
| Individuals (other than high net worth individuals) | 302 | $119.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- 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
- Yes
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 56 | 58 | increased by2 |
| Apr 1, 2026 | Clients | 419 | 421 | increased by2 |
| Apr 1, 2026 | AUM | $8,315,130,491 | $8,819,458,038 | increased by$504,327,547 |
| Apr 1, 2026 | Accounts | 421 | 430 | increased by9 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 52 | 56 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 631 | 419 | decreased by212 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $10,916,574,875 | $8,315,130,491 | decreased by$2,601,444,384 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 630 | 421 | decreased by209 |
| Apr 1, 2022 | Employees | 51 | 52 | increased by1 |
| Apr 1, 2022 | Clients | 577 | 631 | increased by54 |
| Apr 1, 2022 | AUM | $11,544,566,117 | $10,916,574,875 | decreased by$627,991,242 |
| Apr 1, 2022 | Accounts | 577 | 630 | increased by53 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ADVENT CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ADVENT 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.