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ESTABROOK CAPITAL MANAGEMENT LLC
CRD 128856File 801-62452
APPROVED
Retail clients
Custody
Filing as of Mar 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$933.3M
Above cohort median (national)
Discretionary AUM
$933.3M
Clients
767
767 accounts
Employees
10
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Oct 22, 2003
- Principal office
- 900 THIRD AVENUE, SUITE 502, NEW YORK, NY, 10022
- Phone
- 212-605-5500
- Website
- HTTP://WWW.ESTABROOKCAP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $933.3M
- Discretionary AUM
- $933.3M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 767
- Non-discretionary accounts
- 0
- Total accounts
- 767
- AUM per client
- $1.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 17 | $84.4M |
| Charitable organizations | 34 | $69.1M |
| High net worth individuals | 149 | $600.2M |
| Pension and profit sharing plans | 18 | $12.2M |
| State or municipal government entities | 1 | $13.3M |
| Individuals (other than high net worth individuals) | 548 | $154.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- 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 | Employees | 11 | 10 | decreased by1 |
| Apr 1, 2026 | Clients | 771 | 767 | decreased by4 |
| Apr 1, 2026 | AUM | $873,396,418 | $933,319,315 | increased by$59,922,897 |
| Apr 1, 2026 | Accounts | 771 | 767 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 13 | 11 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 859 | 771 | decreased by88 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $889,706,058 | $873,396,418 | decreased by$16,309,640 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 859 | 771 | decreased by88 |
| Apr 1, 2022 | Clients | 910 | 859 | decreased by51 |
| Apr 1, 2022 | AUM | $834,447,429 | $889,706,058 | increased by$55,258,629 |
| Apr 1, 2022 | Accounts | 910 | 859 | decreased by51 |
| 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 “ESTABROOK CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ESTABROOK 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.