Reported activities and affiliations: Form ADV, filing 2026-09-02, snapshot 2026-10. Item 6.A(1) includes registered or unregistered broker-dealer activity; Item 6.A(2) describes representative activity; Item 7.A(1) describes related broker-dealers. None alone establishes dual registration or independence.
Business model has not been classified from reviewed evidence.
Business models can overlap with registration categories. This adviser directory does not cover all broker-dealers or family offices. Qualifying single-family offices may be excluded from adviser registration; serving wealthy clients does not establish a family-office classification.
CRD 342946 · Principal office: New York
SEC snapshot · October 2026 · Latest ADV filing: 2026-09-02
$50.50M
2
1
$50.50M
Arrows compare with the prior December where comparable data is available. Growth compares reported regulatory AUM snapshots. It does not measure investment returns; YTD is not annualized.
In the October 2026 SEC snapshot, PLETTENBERG CAPITAL MANAGEMENT, LLC reported $50,500,000.00 in regulatory assets under management, 2 employees, and 1 employees performing advisory functions.
A comparable year-to-date AUM change is unavailable for October 2026.
Our monthly archive first records the firm in October 2026. The available record is too short for the preceding five-year growth comparison.
Reported AUM changes are not investment returns or organic growth. YTD is not annualized.
Reported client categories include pooled investment vehicles (7 clients) and corporations or other businesses (1 client). Client counts are approximate.
Its reported services include portfolio management for individuals and/or small businesses, portfolio management for pooled investment vehicles, and portfolio management for other businesses and institutional clients. The firm reports charging asset-based fees and performance-based fees.
Reported discretionary regulatory AUM is $50,500,000.00; non-discretionary regulatory AUM is unknown (source placeholder).
2 notice-filing jurisdictions
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Notice filed
Reported effective dateOctober 1, 2026
1 of 1 listed offices mapped. Larger dots identify the principal office; offices at the same location may overlap. Locations are approximate Census address matches.
Office filing: . The firm reported 0 additional offices as of its last fiscal year end. The SEC schedule may list only the largest 25 additional offices. Listed records and reported totals can differ. Unmatched addresses and locations outside this U.S. map have no dot. Private-residence addresses are withheld.
Notice filings are reports to jurisdictions, not office locations or proof of current registration. This map uses the profile’s source month; the history slider does not change it.
Points show actual reported monthly snapshots. Curves between points are visual guides. The month slider includes the full archive.
Lines stop at missing months, unavailable values and definition changes. Earlier AUM and regulatory AUM use different reporting definitions. Growth calculations use comparable regulatory AUM. Changes do not measure investment returns, flows or organic growth. Absence from a snapshot does not establish a closure.
These are observation dates, not the effective dates of name changes or evidence of a merger.
Compared with other firms in the same starting AUM band. Each period uses the same source months for every firm. A firm remains in that period’s group even if its AUM later moves outside the band.
December 2024 → December 2025
Comparable AUM values are unavailable for this firm.
December 2025 → October 2026
Comparable AUM values are unavailable for this firm.
Size groups may differ in services and client mix. AUM growth reflects snapshot changes and can include acquisitions and market movements; it does not measure investment returns or financial strength.
Regulatory assets under management do not measure investment performance. Client categories are reported counts, not a recommendation or service guarantee.
No differences were found in the comparable fields and periods reviewed. This does not establish that the business was unchanged.
0 adjacent monthly snapshot pairs reviewed; archive through Oct 2026. 1 comparable leadership filing pairs through Sep 2, 2026.
Changes reflect reported values and selected leadership records. Snapshot months are not event or valuation dates. Missing months and incomparable values are excluded. AUM changes are not investment returns or organic growth; filing differences do not establish hires, departures, acquisitions or their effective dates.
Selected filing: Sep 2, 2026 · filing ID 2130456. SEC full-filing archive · 2026-09. History begins with the first retained filing on Sep 1, 2026; it is not a complete ownership history.
Schedule D 5.K.(3) lists custodians holding at least 10% of separately managed account regulatory AUM; it is not an exhaustive custodian list. Schedule D 7.B.(1), question 25 identifies private-fund custodians. Fund gross assets are not firm regulatory AUM, and fund values are not summed because master/feeder structures can overlap. Minimum commitments are fund-specific, not adviser account minimums. Funds reported by another adviser under 7.B.(2) may not appear here.
Schedules A/B disclose direct owners, executive officers and indirect owners. Bands are reported ranges, not exact ownership percentages. Indirect bands refer to the named intermediary; no effective adviser stake is calculated. “Control person” is the filing flag. Schedule A NA means less than 5%; code F has no assigned percentage. This view does not cover all control persons under Item 10.A. Private identifiers and trust-related entries are withheld; incomplete snapshots do not generate removal claims.
6 ownership entries withheld from this projection. Source rows passed the selected projection checks.
Email us the reported field, what needs checking and a supporting public source. Include CRD 342946 and source month 2026-10 if writing your own message. Do not include account numbers or other sensitive information.
This opens your email app with the firm and source details filled in. You can also copy the address into your email service. Reports are reviewed manually; sending an email does not change the published data or the underlying SEC filing.
Business-matched comparisons are unavailable without complete service responses and reconciled client-asset figures from the common source month. The size-only comparison above remains separate.
Original sources, calculation methods and filing evidence for this profile.
Snapshot arrows compare exact reported values with the preceding December; unchanged values use a neutral arrow and unavailable comparisons have no arrow. Discretionary share is discretionary regulatory AUM divided by reconciled total regulatory AUM. Asset composition shows reported AUM by client category, not securities or asset classes; percentages require category amounts to reconcile with the total.
Annual growth = (December AUM ÷ prior December AUM − 1) × 100. The benchmark is the arithmetic mean of the five years before 2025. The difference is in percentage points (pp). YTD compares the latest source month with the preceding December. Source months are not valuation dates.
Only exact months with comparable reported regulatory AUM qualify. A missing or flagged value, a definition change, or zero starting AUM makes that comparison unavailable.
These are exact December source-month observations, with the latest partial-year month shown separately. They are not annual averages or annualized values. Missing months are not replaced with nearby filings. Bars start at zero; labels are abbreviated and exact values appear below. Source months are not valuation dates. Employee ranges and flagged values are not plotted as exact counts.
| Source month | Regulatory AUM | Employees |
|---|---|---|
| October 2026 (partial year) | $50,500,000.00 | 2 |
The monthly-history evidence below identifies source files, rows and fields.
Current ratios use the profile’s October 2026 reported regulatory AUM divided by its employee count or advisory-function employee count. Exact source values appear in the reported business fields below. Dollar ratios are rounded to cents; ratio changes use unrounded amounts and counts.
Annualized AUM change = ((ending regulatory AUM ÷ starting regulatory AUM)^(1 ÷ years) − 1) × 100. Three- and five-year periods end in the last complete calendar year. Every December observation in a period must contain comparable regulatory AUM, and each starting value must be positive. Values are rounded to one decimal. This compound rate differs from the arithmetic five-year average shown in Growth and history. YTD staffing changes are not annualized.
These derived comparisons use the 17,432 firms in the selected public directory nationwide. This is the currently published population, not every firm that existed during the historical period; firms absent from today’s directory are not included.
Each firm is assigned to the band containing its positive reported regulatory AUM at the start of that comparison. Bands include their lower boundary and exclude their upper boundary. Only exact source-month endpoints with reported regulatory AUM qualify. Missing, flagged, incompatible-definition and zero-starting values are excluded. No nearest-month substitution or partial-period annualization is used.
Growth = (ending AUM ÷ starting AUM − 1) × 100. The subject firm is excluded from all peer counts and statistics. At least 20 other firms must qualify. The median is the middle peer growth rate, or the mean of the two middle rates. Percentile = 100 × (peers with lower growth + half of peers with equal growth) ÷ qualified peers, rounded down to a whole number. Comparisons use exact values before display rounding.
The 75th-percentile peer growth rate uses the nearest-rank method: sort the qualified peers by growth and select position ceil(0.75 × peer count), counting from one. This rate is a reference point, not a guarantee of a top-quartile rank; ties use the midpoint ranking above. Bar lengths use the displayed rates rounded to one decimal. Each period has its own zero-based scale.
Top quartile: percentiles 75–100; second: 50–74; third: 25–49; fourth: 0–24. These are separate growth comparisons, not a combined score, financial-health rating or endorsement. Similar AUM does not establish similar businesses, and acquisition effects are not removed.
Values are reported in the linked SEC files. “Not in source” means the field is absent from that extract. Flagged values are retained for review and excluded from the chart. Snapshot months are not filing or valuation dates. Repeated values may reflect the same filing.
The SEC’s revised AUM methodology became effective September 19, 2011; existing SEC-registered advisers were required to file the revised Form ADV by March 30, 2012. We identify each observation’s definition from its source form version and qualified source format, rather than applying one cutoff date to every firm. Earlier reported AUM and regulatory AUM are plotted as separate series on the same axes, without connecting across definition changes. Unconfirmed definitions are not plotted. Growth rates and peer comparisons use only comparable regulatory AUM. SEC AUM methodology and transition (pages 19–29 and 93–94).
| Source month | Name observed | Reported AUM | AUM definition | Employees | Advisory employees | SEC evidence |
|---|---|---|---|---|---|---|
| Oct 2026 | PLETTENBERG CAPITAL MANAGEMENT, LLC | $50,500,000.00 | Regulatory AUM | 2 | 1 | ia09012026.csvrecord 15211 AUM: 5F(2)(c); employees: 5A; advisory: 5B(1) |
| Sep 2026 | No usable firm observation; this does not establish a closure | |||||
| Aug 2026 | No usable firm observation; this does not establish a closure | |||||
| Jul 2026 | No usable firm observation; this does not establish a closure | |||||
| Jun 2026 | No usable firm observation; this does not establish a closure | |||||
| May 2026 | No usable firm observation; this does not establish a closure | |||||
| Apr 2026 | No usable firm observation; this does not establish a closure | |||||
| Mar 2026 | No usable firm observation; this does not establish a closure | |||||
| Feb 2026 | No usable firm observation; this does not establish a closure | |||||
| Jan 2026 | No usable firm observation; this does not establish a closure | |||||
| Dec 2025 | No usable firm observation; this does not establish a closure | |||||
| Nov 2025 | Source availability notice | |||||
| Oct 2025 | Source availability notice | |||||
| Sep 2025 | No usable firm observation; this does not establish a closure | |||||
| Aug 2025 | No usable firm observation; this does not establish a closure | |||||
| Jul 2025 | No usable firm observation; this does not establish a closure | |||||
| Jun 2025 | No usable firm observation; this does not establish a closure | |||||
| May 2025 | No usable firm observation; this does not establish a closure | |||||
| Apr 2025 | No usable firm observation; this does not establish a closure | |||||
| Mar 2025 | No usable firm observation; this does not establish a closure | |||||
| Feb 2025 | No usable firm observation; this does not establish a closure | |||||
| Jan 2025 | No usable firm observation; this does not establish a closure | |||||
| Dec 2024 | No usable firm observation; this does not establish a closure | |||||
| Nov 2024 | No usable firm observation; this does not establish a closure | |||||
| Oct 2024 | No usable firm observation; this does not establish a closure | |||||
| Sep 2024 | No usable firm observation; this does not establish a closure | |||||
| Aug 2024 | No usable firm observation; this does not establish a closure | |||||
| Jul 2024 | No usable firm observation; this does not establish a closure | |||||
| Jun 2024 | No usable firm observation; this does not establish a closure | |||||
| May 2024 | No usable firm observation; this does not establish a closure | |||||
| Apr 2024 | No usable firm observation; this does not establish a closure | |||||
| Mar 2024 | No usable firm observation; this does not establish a closure | |||||
| Feb 2024 | No usable firm observation; this does not establish a closure | |||||
| Jan 2024 | No usable firm observation; this does not establish a closure | |||||
| Dec 2023 | No usable firm observation; this does not establish a closure | |||||
| Nov 2023 | No usable firm observation; this does not establish a closure | |||||
| Oct 2023 | No usable firm observation; this does not establish a closure | |||||
| Sep 2023 | No usable firm observation; this does not establish a closure | |||||
| Aug 2023 | No usable firm observation; this does not establish a closure | |||||
| Jul 2023 | No usable firm observation; this does not establish a closure | |||||
| Jun 2023 | No usable firm observation; this does not establish a closure | |||||
| May 2023 | No usable firm observation; this does not establish a closure | |||||
| Apr 2023 | No usable firm observation; this does not establish a closure | |||||
| Mar 2023 | No usable firm observation; this does not establish a closure | |||||
| Feb 2023 | No usable firm observation; this does not establish a closure | |||||
| Jan 2023 | No usable firm observation; this does not establish a closure | |||||
| Dec 2022 | No usable firm observation; this does not establish a closure | |||||
| Nov 2022 | No usable firm observation; this does not establish a closure | |||||
| Oct 2022 | No usable firm observation; this does not establish a closure | |||||
| Sep 2022 | No usable firm observation; this does not establish a closure | |||||
| Aug 2022 | No usable firm observation; this does not establish a closure | |||||
| Jul 2022 | No usable firm observation; this does not establish a closure | |||||
| Jun 2022 | No usable firm observation; this does not establish a closure | |||||
| May 2022 | No usable firm observation; this does not establish a closure | |||||
| Apr 2022 | No usable firm observation; this does not establish a closure | |||||
| Mar 2022 | No usable firm observation; this does not establish a closure | |||||
| Feb 2022 | No usable firm observation; this does not establish a closure | |||||
| Jan 2022 | No usable firm observation; this does not establish a closure | |||||
| Dec 2021 | No usable firm observation; this does not establish a closure | |||||
| Nov 2021 | No usable firm observation; this does not establish a closure | |||||
| Oct 2021 | No usable firm observation; this does not establish a closure | |||||
| Sep 2021 | No usable firm observation; this does not establish a closure | |||||
| Aug 2021 | No usable firm observation; this does not establish a closure | |||||
| Jul 2021 | No usable firm observation; this does not establish a closure | |||||
| Jun 2021 | No usable firm observation; this does not establish a closure | |||||
| May 2021 | No usable firm observation; this does not establish a closure | |||||
| Apr 2021 | No usable firm observation; this does not establish a closure | |||||
| Mar 2021 | No usable firm observation; this does not establish a closure | |||||
| Feb 2021 | No usable firm observation; this does not establish a closure | |||||
| Jan 2021 | No usable firm observation; this does not establish a closure | |||||
| Dec 2020 | No usable firm observation; this does not establish a closure | |||||
| Nov 2020 | No usable firm observation; this does not establish a closure | |||||
| Oct 2020 | No usable firm observation; this does not establish a closure | |||||
| Sep 2020 | No usable firm observation; this does not establish a closure | |||||
| Aug 2020 | No usable firm observation; this does not establish a closure | |||||
| Jul 2020 | No usable firm observation; this does not establish a closure | |||||
| Jun 2020 | No usable firm observation; this does not establish a closure | |||||
| May 2020 | No usable firm observation; this does not establish a closure | |||||
| Apr 2020 | No usable firm observation; this does not establish a closure | |||||
| Mar 2020 | No usable firm observation; this does not establish a closure | |||||
| Feb 2020 | No usable firm observation; this does not establish a closure | |||||
| Jan 2020 | No usable firm observation; this does not establish a closure | |||||
| Dec 2019 | No usable firm observation; this does not establish a closure | |||||
| Nov 2019 | No usable firm observation; this does not establish a closure | |||||
| Oct 2019 | No usable firm observation; this does not establish a closure | |||||
| Sep 2019 | No usable firm observation; this does not establish a closure | |||||
| Aug 2019 | No usable firm observation; this does not establish a closure | |||||
| Jul 2019 | No usable firm observation; this does not establish a closure | |||||
| Jun 2019 | No usable firm observation; this does not establish a closure | |||||
| May 2019 | No usable firm observation; this does not establish a closure | |||||
| Apr 2019 | No usable firm observation; this does not establish a closure | |||||
| Mar 2019 | No usable firm observation; this does not establish a closure | |||||
| Feb 2019 | No usable firm observation; this does not establish a closure | |||||
| Jan 2019 | Source availability notice | |||||
| Dec 2018 | No usable firm observation; this does not establish a closure | |||||
| Nov 2018 | No usable firm observation; this does not establish a closure | |||||
| Oct 2018 | No usable firm observation; this does not establish a closure | |||||
| Sep 2018 | No usable firm observation; this does not establish a closure | |||||
| Aug 2018 | No usable firm observation; this does not establish a closure | |||||
| Jul 2018 | No usable firm observation; this does not establish a closure | |||||
| Jun 2018 | No usable firm observation; this does not establish a closure | |||||
| May 2018 | No usable firm observation; this does not establish a closure | |||||
| Apr 2018 | No usable firm observation; this does not establish a closure | |||||
| Mar 2018 | No usable firm observation; this does not establish a closure | |||||
| Feb 2018 | No usable firm observation; this does not establish a closure | |||||
| Jan 2018 | No usable firm observation; this does not establish a closure | |||||
| Dec 2017 | No usable firm observation; this does not establish a closure | |||||
| Nov 2017 | No usable firm observation; this does not establish a closure | |||||
| Oct 2017 | No usable firm observation; this does not establish a closure | |||||
| Sep 2017 | No usable firm observation; this does not establish a closure | |||||
| Aug 2017 | No usable firm observation; this does not establish a closure | |||||
| Jul 2017 | No usable firm observation; this does not establish a closure | |||||
| Jun 2017 | No usable firm observation; this does not establish a closure | |||||
| May 2017 | No usable firm observation; this does not establish a closure | |||||
| Apr 2017 | No usable firm observation; this does not establish a closure | |||||
| Mar 2017 | No usable firm observation; this does not establish a closure | |||||
| Feb 2017 | No usable firm observation; this does not establish a closure | |||||
| Jan 2017 | No usable firm observation; this does not establish a closure | |||||
| Dec 2016 | No usable firm observation; this does not establish a closure | |||||
| Nov 2016 | No usable firm observation; this does not establish a closure | |||||
| Oct 2016 | No usable firm observation; this does not establish a closure | |||||
| Sep 2016 | No usable firm observation; this does not establish a closure | |||||
| Aug 2016 | No usable firm observation; this does not establish a closure | |||||
| Jul 2016 | No usable firm observation; this does not establish a closure | |||||
| Jun 2016 | No usable firm observation; this does not establish a closure | |||||
| May 2016 | No usable firm observation; this does not establish a closure | |||||
| Apr 2016 | No usable firm observation; this does not establish a closure | |||||
| Mar 2016 | No usable firm observation; this does not establish a closure | |||||
| Feb 2016 | No usable firm observation; this does not establish a closure | |||||
| Jan 2016 | No usable firm observation; this does not establish a closure | |||||
| Dec 2015 | No usable firm observation; this does not establish a closure | |||||
| Nov 2015 | No usable firm observation; this does not establish a closure | |||||
| Oct 2015 | No usable firm observation; this does not establish a closure | |||||
| Sep 2015 | No usable firm observation; this does not establish a closure | |||||
| Aug 2015 | No usable firm observation; this does not establish a closure | |||||
| Jul 2015 | No usable firm observation; this does not establish a closure | |||||
| Jun 2015 | No usable firm observation; this does not establish a closure | |||||
| May 2015 | No usable firm observation; this does not establish a closure | |||||
| Apr 2015 | No usable firm observation; this does not establish a closure | |||||
| Mar 2015 | No usable firm observation; this does not establish a closure | |||||
| Feb 2015 | No usable firm observation; this does not establish a closure | |||||
| Jan 2015 | No usable firm observation; this does not establish a closure | |||||
| Dec 2014 | No usable firm observation; this does not establish a closure | |||||
| Nov 2014 | No usable firm observation; this does not establish a closure | |||||
| Oct 2014 | No usable firm observation; this does not establish a closure | |||||
| Sep 2014 | No usable firm observation; this does not establish a closure | |||||
| Aug 2014 | No usable firm observation; this does not establish a closure | |||||
| Jul 2014 | No usable firm observation; this does not establish a closure | |||||
| Jun 2014 | No usable firm observation; this does not establish a closure | |||||
| May 2014 | No usable firm observation; this does not establish a closure | |||||
| Apr 2014 | No usable firm observation; this does not establish a closure | |||||
| Mar 2014 | No usable firm observation; this does not establish a closure | |||||
| Feb 2014 | No usable firm observation; this does not establish a closure | |||||
| Jan 2014 | No usable firm observation; this does not establish a closure | |||||
| Dec 2013 | No usable firm observation; this does not establish a closure | |||||
| Nov 2013 | No usable firm observation; this does not establish a closure | |||||
| Oct 2013 | No usable firm observation; this does not establish a closure | |||||
| Sep 2013 | No usable firm observation; this does not establish a closure | |||||
| Aug 2013 | No usable firm observation; this does not establish a closure | |||||
| Jul 2013 | No usable firm observation; this does not establish a closure | |||||
| Jun 2013 | No usable firm observation; this does not establish a closure | |||||
| May 2013 | No usable firm observation; this does not establish a closure | |||||
| Apr 2013 | No usable firm observation; this does not establish a closure | |||||
| Mar 2013 | No usable firm observation; this does not establish a closure | |||||
| Feb 2013 | No usable firm observation; this does not establish a closure | |||||
| Jan 2013 | No usable firm observation; this does not establish a closure | |||||
| Dec 2012 | No usable firm observation; this does not establish a closure | |||||
| Nov 2012 | No usable firm observation; this does not establish a closure | |||||
| Oct 2012 | No usable firm observation; this does not establish a closure | |||||
| Sep 2012 | No usable firm observation; this does not establish a closure | |||||
| Aug 2012 | No usable firm observation; this does not establish a closure | |||||
| Jul 2012 | No usable firm observation; this does not establish a closure | |||||
| Jun 2012 | No usable firm observation; this does not establish a closure | |||||
| May 2012 | No usable firm observation; this does not establish a closure | |||||
| Apr 2012 | No usable firm observation; this does not establish a closure | |||||
| Mar 2012 | No usable firm observation; this does not establish a closure | |||||
| Feb 2012 | No usable firm observation; this does not establish a closure | |||||
| Jan 2012 | No usable firm observation; this does not establish a closure | |||||
| Dec 2011 | No usable firm observation; this does not establish a closure | |||||
| Nov 2011 | No usable firm observation; this does not establish a closure | |||||
| Oct 2011 | No usable firm observation; this does not establish a closure | |||||
| Sep 2011 | No usable firm observation; this does not establish a closure | |||||
| Aug 2011 | No usable firm observation; this does not establish a closure | |||||
| Jul 2011 | No usable firm observation; this does not establish a closure | |||||
| Jun 2011 | No usable firm observation; this does not establish a closure | |||||
| May 2011 | No usable firm observation; this does not establish a closure | |||||
| Apr 2011 | No usable firm observation; this does not establish a closure | |||||
| Mar 2011 | No usable firm observation; this does not establish a closure | |||||
| Feb 2011 | No usable firm observation; this does not establish a closure | |||||
| Jan 2011 | No usable firm observation; this does not establish a closure | |||||
| Dec 2010 | No usable firm observation; this does not establish a closure | |||||
| Nov 2010 | No usable firm observation; this does not establish a closure | |||||
| Oct 2010 | No usable firm observation; this does not establish a closure | |||||
| Sep 2010 | No usable firm observation; this does not establish a closure | |||||
| Aug 2010 | No usable firm observation; this does not establish a closure | |||||
| Jul 2010 | No usable firm observation; this does not establish a closure | |||||
| Jun 2010 | No usable firm observation; this does not establish a closure | |||||
| May 2010 | No usable firm observation; this does not establish a closure | |||||
| Apr 2010 | No usable firm observation; this does not establish a closure | |||||
| Mar 2010 | No usable firm observation; this does not establish a closure | |||||
| Feb 2010 | No usable firm observation; this does not establish a closure | |||||
| Jan 2010 | No usable firm observation; this does not establish a closure | |||||
| Dec 2009 | No usable firm observation; this does not establish a closure | |||||
| Nov 2009 | No usable firm observation; this does not establish a closure | |||||
| Oct 2009 | No usable firm observation; this does not establish a closure | |||||
| Sep 2009 | No usable firm observation; this does not establish a closure | |||||
| Aug 2009 | No usable firm observation; this does not establish a closure | |||||
| Jul 2009 | No usable firm observation; this does not establish a closure | |||||
| Jun 2009 | No usable firm observation; this does not establish a closure | |||||
| May 2009 | No usable firm observation; this does not establish a closure | |||||
| Apr 2009 | No usable firm observation; this does not establish a closure | |||||
| Mar 2009 | No usable firm observation; this does not establish a closure | |||||
| Feb 2009 | No usable firm observation; this does not establish a closure | |||||
| Jan 2009 | No usable firm observation; this does not establish a closure | |||||
| Dec 2008 | No usable firm observation; this does not establish a closure | |||||
| Nov 2008 | Month not listed in SEC archive | |||||
| Oct 2008 | No usable firm observation; this does not establish a closure | |||||
| Sep 2008 | No usable firm observation; this does not establish a closure | |||||
| Aug 2008 | No usable firm observation; this does not establish a closure | |||||
| Jul 2008 | No usable firm observation; this does not establish a closure | |||||
| Jun 2008 | No usable firm observation; this does not establish a closure | |||||
| May 2008 | Month not listed in SEC archive | |||||
| Apr 2008 | No usable firm observation; this does not establish a closure | |||||
| Mar 2008 | No usable firm observation; this does not establish a closure | |||||
| Feb 2008 | No usable firm observation; this does not establish a closure | |||||
| Jan 2008 | No usable firm observation; this does not establish a closure | |||||
| Dec 2007 | Month not listed in SEC archive | |||||
| Nov 2007 | No usable firm observation; this does not establish a closure | |||||
| Oct 2007 | No usable firm observation; this does not establish a closure | |||||
| Sep 2007 | No usable firm observation; this does not establish a closure | |||||
| Aug 2007 | Month not listed in SEC archive | |||||
| Jul 2007 | No usable firm observation; this does not establish a closure | |||||
| Jun 2007 | Month not listed in SEC archive | |||||
| May 2007 | No usable firm observation; this does not establish a closure | |||||
| Apr 2007 | Month not listed in SEC archive | |||||
| Mar 2007 | Month not listed in SEC archive | |||||
| Feb 2007 | Month not listed in SEC archive | |||||
| Jan 2007 | Month not listed in SEC archive | |||||
| Dec 2006 | Month not listed in SEC archive | |||||
| Nov 2006 | Month not listed in SEC archive | |||||
| Oct 2006 | Month not listed in SEC archive | |||||
| Sep 2006 | Month not listed in SEC archive | |||||
| Aug 2006 | Month not listed in SEC archive | |||||
| Jul 2006 | Month not listed in SEC archive | |||||
| Jun 2006 | No usable firm observation; this does not establish a closure | |||||
Form 13F holdings: No unambiguous filing-manager match was established in the reviewed archive. This does not mean zero holdings or no filing obligation. Coverage and qualification method.
In its Sep 2, 2026 filing, the firm reported the following recognized leadership and management titles in Schedule A:
This is a selected view of Schedule A individuals, not a complete staff or ownership list. Titles are standardized; ambiguous or incomplete records are excluded. Title observation dates show the earliest retained filing with the listed title or titles, not employment or appointment dates.
2 retained filings through Sep 2, 2026; 1 comparable filing pairs.
No changes in the selected leadership fields were found across the comparable filing pairs.
Filing differences do not establish hiring or departure dates, or the significance of a change. A reported status-acquired date can refer to an earlier qualifying role. Invalid or future dates are not treated as usable dates. Coverage is limited to retained filings from January 2025 onward.
Succession evidence is not available in the selected history release.
Program-specific brochure fees and account minimums have not yet been verified for this profile. Reported compensation methods are not a fee schedule.
PLETTENBERG CAPITAL MANAGEMENT, LLC reports providing portfolio management for individuals and/or small businesses, portfolio management for pooled investment vehicles, and portfolio management for other businesses and institutional clients. ADV Items 5.G · October 2026
PLETTENBERG CAPITAL MANAGEMENT, LLC reports compensation through asset-based fees and performance-based fees. These categories do not specify a fee schedule or establish fee-only status. ADV Items 5.E · October 2026
PLETTENBERG CAPITAL MANAGEMENT, LLC’s reported client categories include pooled investment vehicles (7 clients; regulatory AUM $49,500,000.00) and corporations or other businesses (1 client; regulatory AUM $1,000,000.00). Client counts are approximate and are not account counts. Client-asset percentages are unavailable because the source values could not be reconciled with the published total. ADV Items 5.D · October 2026
PLETTENBERG CAPITAL MANAGEMENT, LLC reports $50,500,000.00 in discretionary regulatory AUM and unknown (source placeholder) in non-discretionary regulatory AUM. Discretionary management generally permits investment decisions without prior approval for each trade. Reported accounts: 8 discretionary and 0 non-discretionary. Accounts are not distinct clients. The components could not be fully reconciled with the published totals, so no percentage is calculated. ADV Items 5.F · October 2026
PLETTENBERG CAPITAL MANAGEMENT, LLC did not select any of the listed other business activities in Item 6.A. Its reported related-person categories include pooled-investment-vehicle sponsors, general partners or managing members. These disclosures do not establish ownership percentages or complete corporate structure. ADV Items 6.A; 7.A · October 2026
SEC source: ia09012026.csv · row 15211. Reported names: Items 1.A/1.B; services: 5.G; compensation: 5.E; client categories: 5.D; regulatory AUM and accounts: 5.F; other business activities: 6.A; related persons: 7.A.
Percentages, when available, are calculated as reported category or discretionary regulatory AUM ÷ reported total regulatory AUM × 100, rounded to one decimal. Unknown source placeholders and missing amounts are not presented as zero. Counts marked “fewer than five” are preserved. Client counts are approximate and may use different household-counting practices across firms. The table does not infer a total number of clients.
| Client category | Reported clients | Reported regulatory AUM |
|---|---|---|
| individuals other than high-net-worth individuals | 0 | unknown (source placeholder) |
| high-net-worth individuals | 0 | unknown (source placeholder) |
| banking or thrift institutions | 0 | unknown (source placeholder) |
| investment companies | 0 | unknown (source placeholder) |
| business development companies | 0 | unknown (source placeholder) |
| pooled investment vehicles | 7 | $49,500,000.00 |
| pension and profit-sharing plans | 0 | unknown (source placeholder) |
| charitable organizations | 0 | unknown (source placeholder) |
| state or municipal government entities | 0 | unknown (source placeholder) |
| other investment advisers | 0 | unknown (source placeholder) |
| insurance companies | 0 | unknown (source placeholder) |
| sovereign wealth funds and foreign official institutions | 0 | unknown (source placeholder) |
| corporations or other businesses | 1 | $1,000,000.00 |
| other client types | Not reported | not reported |
Discretionary accounts: 8; non-discretionary accounts: 0; total accounts: 8. This is an account count, not a client count.
Open the official firm record and Part 2 brochures for program-specific fees, minimums and investment approach. The current official record may be newer than this snapshot.
Source months identify the snapshot, not the valuation date or current registration status.
Principal-office table: IA_ADV_Base_A_20260901_20260930.csv. Additional-office table: IA_Schedule_D_1F_20260901_20260930.csv. Form ADV filing 2130456.
8 WEST 40TH ST., FLOOR 4, NEW YORK, NY, United States, 10018
Mapped · approximate address locationSEC source · October 2026Field: Jurisdiction Notice Filed-Effective Date · Row 15,211
Map boundaries: U.S. Census via us-atlas (ISC license).
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This directory uses monthly snapshots. The current official record may contain newer filings or registration information.
