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GATES CAPITAL MANAGEMENT, INC.
CRD 137842File 801-65550
APPROVED
Custody
Disclosure events
Filing as of Mar 12, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$3.26B
Top 25% of cohort (national)
Discretionary AUM
$3.26B
Clients
4
4 accounts
Employees
14
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 26, 2006
- Principal office
- 1177 AVENUE OF THE AMERICAS, 46TH FLOOR, NEW YORK, NY, 10036
- Phone
- 212-626-1421
- Website
- HTTP://WWW.GATESCAP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $3.26B
- Discretionary AUM
- $3.26B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 4
- Non-discretionary accounts
- 0
- Total accounts
- 4
- AUM per client
- $814.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 4 | $3.26B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for pooled investment vehicles
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- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 15 | 14 | decreased by1 |
| Apr 1, 2026 | AUM | $3,941,272,000 | $3,256,584,000 | decreased by$684,688,000 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 14 | 15 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,792,852,000 | $3,941,272,000 | increased by$148,420,000 |
| Apr 1, 2022 | Employees | 11 | 14 | increased by3 |
| Apr 1, 2022 | AUM | $2,954,682,000 | $3,792,852,000 | increased by$838,170,000 |
| 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 “GATES CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GATES 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.