New Line Capital, Llc
- Regulatory AUM
- $31.6M
- Discretionary
- $21.5M
- Clients
- 29
- Avg AUM / client
- $1.1M
- Accounts
- 64
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 9 | $531K | 1.68% |
| High net worth individuals | 17 | $29.1M | 92.0% |
| Pension and profit sharing plans | 3 | $2.0M | 6.27% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Anthony Nagler | Managing Member, Chief Compliance Officer | Jan 2007 (20y) | 75% or more | |
| Jonathan Hine Stephens | Registered representative | Jan 2021 (6y) | ||
| Mark Alan Boutote | Registered representative | Jan 2026 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/13/2026 | 1.27 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: SMITH BARNEY: BORROWED $3,000 FROM A FRIEND/CLIENT WITHOUT FIRM PERMISSION. MORGAN STANLEY: MISREPRESENTED REASON FOR TERMINATION BY SMITH BARNEY. Status: Final Sanction Detail: ONLY UPON REASSOCIATION. Summary: I WAS NOT AWARE THAT BORROWING MONEY FROM A FRIEND/CLIENT WAS AGAINST FIRM POLICY OR AN NASD RULE VIOLATION. THE LOAN WAS REPAID WITH INTEREST. THE FIRM LEARNED OF THE LOAN WHEN MY FRIEND THANKED ME FOR REPAYING IT. I BELIEVE THE REAL REASON FOR MY TERMINATION WAS A COMPENSATION DISPUTE. MORGAN STANLEY CLAIMS I MISREPRESENTED THE GROUNDS FOR MY TERMINATION BY SMITH BARNEY. I DISPUTE THAT CLAIM. I ANSWERED THE QUESTIONS THEY ASKED ME BASED ON MY UNDERSTANDING AT THE TIME. I ADVISED THEM OF THE NASD INVESTIGATION AND THE DETAILS OF THE LOAN IN JANUARY 2006. THEY DID NOT TERMINATE ME UNTIL DECEMBER.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
- • Other fees
- • CONSULTING FEES SPECIAL PROJECTS
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗