Flax Pond Capital, Llc
- Regulatory AUM
- $222M
- Discretionary
- $220M
- Clients
- 120
- Avg AUM / client
- $1.9M
- Accounts
- 119
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 30, 2026
Asset allocation (SMA assets by investment type)
as of Jan 30, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 64 | $55.3M | 24.9% |
| High net worth individuals | 55 | $167M | 75.0% |
| Charitable organizations | 1 | $346K | 0.16% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Christopher M Zafiriou | President | CFA | Oct 2022 (4y) | 75% or more |
| Thrasher, Nancy, Teresa | Chief Compliance Officer | Oct 2022 (4y) | Less than 5% | |
| Michael John Crew | Registered representative | Mar 2023 (3y) |
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) | 01/30/2026 | 952 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
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Brokerage Services $161M (72% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Jan 30, 2026.
View current Form ADV (SEC/IAPD) ↗