3a Capital, LLC

RIASEC RegisteredEst. 2026
Total AUM
Avg account
$0
Accounts
0
Employees
4
Advisory reps
3

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

FINTRX

Overview

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

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

2 of 2
  • Stacey Gillespie

    Stacey Gillespie

    Chief Compliance OfficerCRD 3137874

  • Brian Fullerton

    Brian Fullerton

    Chief Investment OfficerCRD 2054485

Contacts

1 of 1
  • Shilpa Kumari

    Shilpa Kumari

    Financial AnalystCRD 3252952

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

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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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth