SourcingSourcing

RAND CAPITAL MANAGEMENT LLC

C34
CRD 304504·SEC 801-116971·BUFFALO, NY
AUM
$136.7M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$410K
@ 30% margin
Est. Deal Value
$3.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RAND CAPITAL MANAGEMENT LLC
CRD
304504
SEC file #
801-116971
EIN
—
DBA names
Rand Capital Management

Economics

AUM
$136.7M
AUM band
$100M-$500M
AUM trajectory
'20'26
$63.7M → $136.7M▲ +115%
Client mix
Pooled Investment Vehicles2
Investment Companies1
Business Devel Companies1

Operations

Employees (total)
10
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
2 advisors → 6 advisors▲ +200%
Primary office
BUFFALO NY
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companiesPortfolio mgmt — pooled vehicles
Fee basis
% of AUMOther Compensation

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
randcapital.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CALLODINE CREDIT, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
CALLODINE CREDIT, LLC
BARFIELD, OLIVER, SCOTT
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
RANDCAPITAL.COM
Rdap Domain Creation Date
1999-02-16T05:00:00Z
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
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
3
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1869
Soi Zip Pct 200k Plus
0.0561
Soi Zip Returns 200k Plus
60
Soi Zip Total AGI
84,775
Fdic Zip Total Deposits
482,974,280,000
Fdic Zip Branch Count
189
Fdic Zip Top Banks
Manufacturers and Traders Trust Company
HSBC Bank USA, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (23)

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
E*trade4
Fdic Zip Branches Raw
Manufacturers and Traders Trust CompanyBuffalo, NY
Marine Midland BankBuffalo, NY
Fdic Zip HHI
6840.72
Fdic Zip Top Bank Share Pct
81.77
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-02-16T05:00:00Z
Rdap Domain Last Changed
2019-06-17T14:51:43Z
Rdap Nameservers
Ns87.worldnic.comNs88.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI3,868
Returns300
Stub 2
AGI9,517
Returns260
Stub 3
AGI11,733
Returns190
Soi Zip Total Business Income
3,720
Soi Zip Total Cap Gains
2,767
Soi Zip Total Dividends
1,374
Soi Zip Total Returns
1,070
Trust Company Affiliate
Yes

People (4)

4
BARFIELD, OLIVER, SCOTT
Executive Officer · 2.5%
3177572
KRISTEN MARIE CAMMARATA
Executive Officer · 2.5%
5712807
MARGARET, BRECHTEL, WHALEN
Executive Officer · 2.5%
7482608
Penberthy, Daniel, Patrick
Executive Officer · 2.5%
7134441