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CANNELL & SPEARS LLC
CRD 142633File 801-67401
APPROVED
Retail clients
Custody
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$6.99B
Top 25% of cohort (national)
Discretionary AUM
$6.80B
Non-discretionary $190.4M
Clients
2,549
2,577 accounts
Employees
40
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 3, 2007
- Principal office
- 535 MADISON AVENUE, 14TH FLOOR, NEW YORK, NY, 10022
- Phone
- 212-752-5255
- Website
- HTTP://WWW.CANNELLSPEARS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $6.99B
- Discretionary AUM
- $6.80B
- Non-discretionary AUM
- $190.4M
- Discretionary accounts
- 2,528
- Non-discretionary accounts
- 49
- Total accounts
- 2,577
- AUM per client
- $2.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 43 | $231.7M |
| Investment companies | 1 | $113.9M |
| Charitable organizations | 53 | $250.3M |
| High net worth individuals | 1,937 | $6.22B |
| Pooled investment vehicles | 2 | $12.2M |
| Pension and profit sharing plans | 56 | $51.0M |
| Individuals (other than high net worth individuals) | 457 | $112.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Selection of other advisers
- 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
- No
- Firm Custody Clients
- No
- 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 | 41 | 40 | decreased by1 |
| Apr 1, 2026 | Clients | 2,486 | 2,549 | increased by63 |
| Apr 1, 2026 | AUM | $6,316,371,000 | $6,992,200,000 | increased by$675,829,000 |
| Apr 1, 2026 | Accounts | 2,486 | 2,577 | increased by91 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 40 | 41 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 17 | 40 | increased by23 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 668 | 2,486 | increased by1,818 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,007,200,000 | $6,316,371,000 | increased by$4,309,171,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 668 | 2,486 | increased by1,818 |
| Apr 1, 2022 | Employees | 15 | 17 | increased by2 |
| Apr 1, 2022 | Clients | 628 | 668 | increased by40 |
| Apr 1, 2022 | AUM | $1,810,600,000 | $2,007,200,000 | increased by$196,600,000 |
| Apr 1, 2022 | Accounts | 628 | 668 | increased by40 |
| 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 “CANNELL SPEARS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CANNELL SPEARS” 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.