SourcingSourcing

TONE CAPITAL, LLC

B53
CRD 285622·SEC 801-132702·RICHMOND, VA
AUM
$118.3M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$355K
@ 30% margin
Est. Deal Value
$2.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TONE CAPITAL, LLC
CRD
285622
SEC file #
801-132702
EIN
—
DBA names
—

Economics

AUM
$118.3M
AUM band
$100M-$500M
AUM trajectory
'25'26
$103.2M → $118.3M▲ +15%
Client mix
Individuals High Net Worth99
Individuals Other65
Charitable Organizations2

Operations

Employees (total)
4
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'25'26
3 advisors → 3 advisors▬ 0%
Primary office
RICHMOND VA
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
tonecapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SABO, GREGORY, STEPHEN
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
SABO, GREGORY, STEPHEN
SHANNON, JAMES, JOSEPH
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
TONECAPITAL.COM
Rdap Domain Creation Date
2016-08-12T03:15:51Z
Rdap Firm Age Years
10
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 Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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
E*trade4
Interactive Brokers2
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-08-12T03:15:51Z
Rdap Domain Last Changed
2025-08-12T17:00:43Z
Rdap Nameservers
Ns69.domaincontrol.comNs70.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2003709
Trust Company Affiliate
No

People (4)

4
SABO, GREGORY, STEPHEN
IAR · Direct Owner · 37.5%
2003709
JAMES JOSEPH SHANNON
Direct Owner · 37.5%
4521578
SMALLWOOD, BONNIE, MILLS
IAR · Direct Owner · 17.5%
1899290
PEASLEY, MICHAEL, STEVEN
IAR · Direct Owner · 17.5%
2893952