Arlen Capital, Llc
- Regulatory AUM
- $349M
- Discretionary
- $346M
- Clients
- 222
- Avg AUM / client
- $1.6M
- Accounts
- 690
- Employees
- 6
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 139 | $57.1M | 16.4% |
| High net worth individuals | 83 | $287M | 82.4% |
| Charitable organizations | Fewer than 5 clients | $844K | 0.24% |
| Corporations and other businesses | Fewer than 5 clients | $3.4M | 0.99% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Frank Peter Mcgoff | Chief Compliance Officer/Executive Vice President | Mar 2001 (25y) | Less than 5% | |
| Peter Anthony Sullivan | Owner | Mar 2001 (25y) | ≈ 56.25% – 100% via Arlen Corporation | |
| Adam Mccrystal Sullivan | Executive Vice President | Jun 2004 (22y) | Less than 5% | |
| David A Nabb | Registered representative | Nov 2008 (18y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Arlen Corporation | Owner | Mar 2001 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Peter Anthony Sullivan: 75% – 100% of Arlen Corporation × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/26/2026 | 1000 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Pershing $336M (96% of AUM) Feb 2026
- National Financial Services (Fidelity) $13.1M (4% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 26, 2026.
View current Form ADV (SEC/IAPD) ↗