3a Capital, LLC
Firm details
- Headquarters
- New York, New York
- CRD number
- 343132
- Registered since
- July 16, 2026
- Fee structure
- Percentage of AUM
- Services
- Portfolio Management for Investment Companies
Firm profile
FINTRXOverview
3a Capital, LLC is an institutional registered investment adviser that, according to the dataset, registered with the SEC in 2026. The firm targets institutional clients and charges fees based on a percentage of assets under management. Its stated advisory activity is portfolio management for investment companies. The firm is set up as a limited liability company and is listed as having a domestic ownership structure that includes an individual. The dataset flags several operational characteristics: 3a Capital is not identified as a capital allocator, is not an active ESG investor, is not a multi‑state adviser, and is not a pension consultant or a related adviser to another firm. Services appear oriented toward institutional mandates rather than retail or high‑net‑worth households.
Assets & Accounts
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Owners & executives
2 of 2
Stacey Gillespie
Chief Compliance OfficerCRD 3137874

Brian Fullerton
Chief Investment OfficerCRD 2054485
Contacts
1 of 1
Shilpa Kumari
Financial AnalystCRD 3252952
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
New York, NY
New York
Location
New York, NY
Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- New York
- Address
- 400 Madison Ave
- Time zone
- ET (UTC-5)
- Office locations
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