SourcingSourcing

WYNNEFIELD CAPITAL, INC.

B65
CRD 157604·SEC 801-73498·NEW YORK, NY
AUM
$184.5M
$100M-$500M
Est. Revenue
$1.8M
@ 1% on AUM
Est. EBITDA
$554K
@ 30% margin
Est. Deal Value
$4.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
WYNNEFIELD CAPITAL, INC.
CRD
157604
SEC file #
801-73498
EIN
—
DBA names
—

Economics

AUM
$184.5M
AUM band
$100M-$500M
AUM trajectory
'20'26
$233.3M → $184.5M▼ -21%
Client mix
Pooled Investment Vehicles3
Pension Profit Sharing Plans1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
4 advisors → 2 advisors▼ -50%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
Pershinglow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
wynnefieldcapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LANDES, JOSHUA, HAIM
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
LANDES, JOSHUA, HAIM
OBUS, NELSON, JAY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
WYNNEFIELDCAPITAL.COM
Rdap Domain Creation Date
1999-05-25T16:30:23Z
Rdap Firm Age Years
27
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001056835
Edgar Registered
Yes
Edgar Filing Count
765
Edgar First Filing Date
2000-11-17
Edgar Last Filing Date
2024-10-07
Edgar 13f Count
82
Edgar 13f Latest AUM Estimate
Filing Date2011-11-14
Accession0001144204-11-064319

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Pershing23
E*trade4
Edgar Addresses
Mailing
450 SEVENTH AVESTE 509NEW YORK, NY 10123
Business
450 SEVENTH AVESTE 509NEW YORK, NY 10123
Edgar Recent Filings
42024-10-07 · 0001104659-24-106795
42024-03-15 · 0001104659-24-035008
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-05-25T16:31:00Z
Rdap Domain Last Changed
2025-03-17T20:08:01Z
Rdap Nameservers
B.ast.ns.buddyns.comC.ast.ns.buddyns.comD.ast.ns.buddyns.comE.ast.ns.buddyns.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1318255
Trust Company Affiliate
No

People (3)

3
LANDES, JOSHUA, HAIM
Direct Owner · 62.5%
1318255
OBUS, NELSON, JAY
Direct Owner · 62.5%
1039098
LIU, W. ALEX
Executive Officer · 2.5%
5284656