SEC-Registered Investment Adviser
Appomattox Advisory, INC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated March 27, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- July 6, 2010
- Principal office
- 551 5th Ave, 26th Floor, New York, NY 10176
- Organized as
- Corporation, DE
- Fiscal year end
- December
Scale
- Regulatory AUM
- $425.6M
- Discretionary / non-discretionary
- $68.4M / $357.2M
- Attributable to non-US clients
- $223.0M
- Accounts
- 22
- Clients
- 0
- Employees
- 6, 4 in advisory roles
- Private funds advised
- 7
- Private fund gross assets
- $67.8M
- Fund types
- 3 hedge funds, 4 private equity funds
- Funds with Form D records
- 6 issuers in AltStreet's ledger, $117.5M reported sold across them
- Client assets in custody
- $75.5M (11 clients)
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients and selection of other advisers
- Compensated by
- a percentage of assets under management, fixed fees and performance-based fees
- Client types
- high net worth individuals (14); pooled investment vehicles (7); charitable organizations (1)
- Related persons include
- another investment adviser
- Affiliates
- 1 investment adviser
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2))
- SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.