Tegesta Capital, Llc
- Regulatory AUM
- $111M
- Discretionary
- $111M
- Clients
- 61
- Avg AUM / client
- $1.8M
- Accounts
- 61
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 19, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 11 | $1.7M | 1.57% |
| High net worth individuals | 50 | $109M | 98.4% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert S Chapman | Member/Chief Compliance Officer | CFA | Dec 2010 (16y) | 75% or more |
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) | 03/19/2026 | 1.25 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: DURING A ROUTINE EXAM, THE OFFICE DETERMINED THAT TEGESTA VIOLATED RULE 69W-600.0131(1)(Q) BY ENTERING INTO, EXTENDING OR RENEWING AN INVESTMENT ADVISORY CONTRACT WITHOUT DISCLOSING THE ROUNDING METHOD USED BY TEGESTA IN ITS FEE CALCULATION METHOD. THE TOTAL AMOUNT OVERBILLED WAS $208.57. Status: Final Sanction Detail: NONE Summary: NONE PROVIDED
Allegations: DURING A ROUTINE EXAM, THE OFFICE DETERMINED THAT TEGESTA VIOLATED RULE 69W-600.0131(1)(Q) BY ENTERING INTO, EXTENDING OR RENEWING AN INVESTMENT ADVISORY CONTRACT WITHOUT DISCLOSING THE ROUNDING METHOD USED BY TEGESTA IN ITS FEE CALCULATION METHOD. THE TOTAL AMOUNT DETERMINED TO BE OVERBILLED WAS $208.57. Status: Final Sanction Detail: NONE Summary: NONE PROVIDED
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $61.0M (55% of AUM) Mar 2026
- Interactive Brokers $15.9M (14% of AUM) Mar 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: Mar 19, 2026.
View current Form ADV (SEC/IAPD) ↗