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NANTAHALA CAPITAL MANAGEMENT, LLC
CRD 158081File 801-72481
APPROVED
Custody
Filing as of Sep 14, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$3.11B
Top 25% of cohort (national)
Discretionary AUM
$3.11B
Clients
11
11 accounts
Employees
14
Top 25% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jun 24, 2011
- Principal office
- 130 MAIN ST., 2ND FLOOR, NEW CANAAN, CT, 06840
- Phone
- 203-909-6430
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $3.11B
- Discretionary AUM
- $3.11B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 11
- Non-discretionary accounts
- 0
- Total accounts
- 11
- AUM per client
- $283.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $82K |
| Pooled investment vehicles | 10 | $3.11B |
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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 15 | 14 | decreased by1 |
| Apr 1, 2026 | Clients | 12 | 11 | decreased by1 |
| Apr 1, 2026 | AUM | $2,345,132,702 | $3,114,082,769 | increased by$768,950,067 |
| Apr 1, 2026 | Accounts | 12 | 11 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 17 | 15 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 13 | 12 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,539,081,537 | $2,345,132,702 | decreased by$1,193,948,835 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 13 | 12 | decreased by1 |
| Apr 1, 2022 | Employees | 19 | 17 | decreased by2 |
| Apr 1, 2022 | Clients | 11 | 13 | increased by2 |
| Apr 1, 2022 | AUM | $4,181,605,982 | $3,539,081,537 | decreased by$642,524,445 |
| Apr 1, 2022 | Accounts | 11 | 13 | increased by2 |
| 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 “NANTAHALA CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NANTAHALA 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.