SourcingSourcing

KATE CAPITAL LLC

B54
CRD 329897·SEC 801-131461·WESTPORT, CT
AUM
$206.8M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$620K
@ 30% margin
Est. Deal Value
$5.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
KATE CAPITAL LLC
CRD
329897
SEC file #
801-131461
EIN
981811238
DBA names
—

Economics

AUM
$206.8M
AUM band
$100M-$500M
AUM trajectory
'25'26
$218.7M → $206.8M▼ -5%
Client mix
Pooled Investment Vehicles5

Operations

Employees (total)
8
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'25'26
5 advisors → 6 advisors▲ +20%
Primary office
WESTPORT CT
Branches
—

Custodian & Brokerage

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

Filings

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

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Podolsky, Paul, Gregory
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
Podolsky, Paul, Gregory
Bachner, Thomas, Jared
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
KATECAPLLC.COM
Rdap Domain Creation Date
2023-09-13T18:05:00Z
Rdap Firm Age Years
3
Rdap Firm Age Band
<5y
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
0002044687
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2024-11-18
Edgar Last Filing Date
2025-11-14
Edgar Form D Count
2
Edgar Form D Offerings
2025-11-142025-11-14 · 0001405086-25-000362
2024-11-182024-11-18 · 0001405086-24-000304

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
E*trade4
Jpmorgan3
Edgar Addresses
Mailing
C/O WALKERS CORPORATE LIMITED190 ELGIN AVENUEGRAND CAYMAN, E9, KY1-9008
Business
C/O WALKERS CORPORATE LIMITED190 ELGIN AVENUEGRAND CAYMAN, E9, KY1-9008
Edgar EIN
981811238
Edgar Recent Filings
D/A2025-11-14 · 0001405086-25-000362
D2024-11-18 · 0001405086-24-000304
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2033-09-13T18:05:00Z
Rdap Domain Last Changed
2025-09-18T15:00:10Z
Rdap Nameservers
Pdns11.domaincontrol.comPdns12.domaincontrol.com
Rdap Secure Dns Enabled
Yes
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
7996755
Trust Company Affiliate
Yes

People (2)

2
Podolsky, Paul, Gregory
Direct Owner · 87.5%
7996755
Bachner, Thomas, Jared
Executive Officer · 2.5%
7718220