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APPOMATTOX ADVISORY, INC
CRD 153731File 801-71652
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$425.6M
Below cohort median (national)
Discretionary AUM
$68.4M
Non-discretionary $357.2M
Clients
22
22 accounts
Employees
6
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jul 6, 2010
- Principal office
- 551 5TH AVE, 26TH FLOOR, NEW YORK, NY, 10176
- Phone
- 212-895-3000
- Website
- HTTPS://WWW.APPOMATTOX.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $425.6M
- Discretionary AUM
- $68.4M
- Non-discretionary AUM
- $357.2M
- Discretionary accounts
- 16
- Non-discretionary accounts
- 6
- Total accounts
- 22
- AUM per client
- $19.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 1 | $7.2M |
| High net worth individuals | 14 | $379.4M |
| Pooled investment vehicles | 7 | $39.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for businesses
- 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
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 20 | 22 | increased by2 |
| Apr 1, 2026 | AUM | $410,823,480 | $425,626,549 | increased by$14,803,069 |
| Apr 1, 2026 | Accounts | 20 | 22 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 14 | 6 | decreased by8 |
| May 1, 2025 vs Oct 1, 2022 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 35 | 20 | decreased by15 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,279,347,686 | $410,823,480 | decreased by$868,524,206 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 35 | 20 | decreased by15 |
| Apr 1, 2022 | Employees | 13 | 14 | increased by1 |
| Apr 1, 2022 | Clients | 30 | 35 | increased by5 |
| Apr 1, 2022 | AUM | $1,415,116,166 | $1,279,347,686 | decreased by$135,768,480 |
| Apr 1, 2022 | Accounts | 30 | 35 | increased by5 |
| 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 “APPOMATTOX ADVISORY” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“APPOMATTOX ADVISORY” 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.