SourcingSourcing

CONGRESS PARK CAPITAL LLC

C41
CRD 150309·SEC 801-70181·SARATOGA SPRINGS, NY
AUM
$422.3M
$100M-$500M
Est. Revenue
$4.2M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CONGRESS PARK CAPITAL LLC
CRD
150309
SEC file #
801-70181
EIN
800412794
DBA names
—

Economics

AUM
$422.3M
AUM band
$100M-$500M
AUM trajectory
'20'26
$181.2M → $422.3M▲ +133%
Client mix
Individuals Other83
Individuals High Net Worth62

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
4 advisors → 3 advisors▼ -25%
Primary office
SARATOGA SPRINGS NY
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/18/2026
ADV-W filed at
—
Website
congressparkcapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BRODWIN, ERIC
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
BRODWIN, ERIC
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CONGRESSPARKCAPITAL.COM
Rdap Domain Creation Date
2009-04-14T20:32:14Z
Rdap Firm Age Years
17
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001730945
Edgar Registered
Yes
Edgar Filing Count
36
Edgar First Filing Date
2018-02-13
Edgar Last Filing Date
2026-04-14
Edgar 13f Count
34
Edgar 13f Latest AUM Estimate
Filing Date2026-04-14
Accession0001730945-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Fidelity4
E*trade4
Edgar Addresses
Mailing
57 PHILA STREETSARATOGA SPRINGS, NY 12866
Business
57 PHILA STREETSARATOGA SPRINGS, NY 12866
Edgar EIN
800412794
Edgar Recent Filings
13F-HR2026-04-14 · 0001730945-26-000002
13F-HR2026-01-14 · 0001730945-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-04-14T20:32:14Z
Rdap Domain Last Changed
2026-04-15T11:01:51Z
Rdap Nameservers
Ns53.domaincontrol.comNs54.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
4595310
Trust Company Affiliate
No

People (3)

3
BRODWIN, ERIC
IAR · Direct Owner · 87.5%
4595310
MICHAEL JAMES STEINER
IAR
4922988
MICHAEL LOS
IAR
6458985