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SQN CAPITAL MANAGEMENT, LLC
CRD 158704File 801-73122
APPROVED
Custody
Disclosure events
Filing as of Apr 2, 2025
Feed vintage Oct 1, 2026
Regulatory AUM
$75.4M
Bottom 25% of cohort (national)
Discretionary AUM
$75.4M
Clients
3
3 accounts
Employees
3
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Feb 14, 2012
- Principal office
- 100 WALL STREET, 11TH FLOOR, NEW YORK, NY, 10005
- Phone
- (212) 422-2166
- Website
- HTTPS://WWW.SQNCAPITAL.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $75.4M
- Discretionary AUM
- $75.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 3
- Non-discretionary accounts
- 0
- Total accounts
- 3
- AUM per client
- $25.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 3 | $75.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- 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
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- 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- Q11
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| May 1, 2025 vs Oct 1, 2022 | Employees | 9 | 3 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 11 | 3 | decreased by8 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $464,633,367 | $75,404,607 | decreased by$389,228,760 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 11 | 3 | decreased by8 |
| Apr 1, 2022 | Clients | 12 | 11 | decreased by1 |
| Apr 1, 2022 | AUM | $434,633,367 | $464,633,367 | increased by$30,000,000 |
| Apr 1, 2022 | Accounts | 12 | 11 | decreased by1 |
| 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 “SQN CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SQN 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.