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ALSWORTH CAPITAL MANAGEMENT, LLC
CRD 281417File 801-113550
APPROVED
Retail clients
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$116.7M
Bottom 25% of cohort (national)
Discretionary AUM
$116.7M
Clients
177
438 accounts
Employees
8
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jul 6, 2018
- Principal office
- 4 WEST MARKET STREET, CORNING, NY, 14830
- Phone
- (607) 973-2665
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $116.7M
- Discretionary AUM
- $116.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 438
- Non-discretionary accounts
- 0
- Total accounts
- 438
- AUM per client
- $659K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $1.4M |
| Charitable organizations | Fewer than 5 | $4.9M |
| High net worth individuals | 52 | $74.7M |
| Pension and profit sharing plans | 5 | $7.4M |
| Individuals (other than high net worth individuals) | 120 | $28.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- 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
- 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 | 6 | 8 | increased by2 |
| Apr 1, 2026 | Clients | 181 | 177 | decreased by4 |
| Apr 1, 2026 | AUM | $97,205,007 | $116,684,055 | increased by$19,479,048 |
| Apr 1, 2026 | Accounts | 415 | 438 | increased by23 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 156 | 181 | increased by25 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $78,466,163 | $97,205,007 | increased by$18,738,844 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 344 | 415 | increased by71 |
| Apr 1, 2022 | Employees | 5 | 6 | increased by1 |
| Apr 1, 2022 | Clients | 136 | 156 | increased by20 |
| Apr 1, 2022 | AUM | $69,832,914 | $78,466,163 | increased by$8,633,249 |
| Apr 1, 2022 | Accounts | 362 | 344 | decreased by18 |
| 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 “ALSWORTH CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ALSWORTH 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.