{"url":"https://nivawealth.com/firms/capshift-advisors-309860","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/309860","regulatoryAum":627980982,"crd":"309860","history":[{"filedOn":"2021-06-24","regulatoryAum":31271051,"clients":0,"employees":11,"offices":4},{"filedOn":"2022-06-22","regulatoryAum":126127625,"clients":0,"employees":13,"offices":2},{"filedOn":"2023-03-31","regulatoryAum":276161617,"clients":8,"employees":18,"offices":2},{"filedOn":"2024-03-27","regulatoryAum":363101916,"clients":13,"employees":15,"offices":2},{"filedOn":"2025-03-28","regulatoryAum":495249270,"clients":13,"employees":15,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":627980982,"clients":14,"employees":16,"offices":2}],"secFileNumber":"801-119451","legalName":"Capshift Advisors, LLC","displayName":"CapShift Advisors","slug":"capshift-advisors-309860","website":"https://capshift.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/309860/515ae0813a508ac6-r1.webp","tone":"light","width":951,"height":200,"sourceUrl":"https://capshift.com/","sourceLabel":"Capshift Advisors, website"},"classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/11825751/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"15 Spencer Street","city":"West Newton","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02465"},"tradeNames":[],"registration":{"secApproved":"15 September 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":16,"advisory":9,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":627980982,"discretionary":377219750,"discretionaryAccounts":65,"nonDiscretionary":250761232,"nonDiscretionaryAccounts":55,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":23},"clientTypes":[{"label":"High-net-worth individuals","clients":null,"fewerThan5":true,"regulatoryAum":11532181},{"label":"Charitable organizations","clients":14,"regulatoryAum":560027240},{"label":"Other investment advisers","clients":null,"fewerThan5":true,"regulatoryAum":56421561}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":176228163},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":117543606}],"custodyNote":"CapShift Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Susan Sessler","title":"Chief Operating Officer","crd":"6541301"},{"name":"Daniel Dwyer","title":"CCO","crd":"7460641"},{"name":"Jacques Perold","title":"Chairman of the Board","crd":"4407744"},{"name":"Adam Rein","title":"Chief Investment Officer","crd":"7252257"},{"name":"Adam Rein","title":"CEO","crd":"7252257"}],"ownership":[{"label":"Capshift LLC","detail":"Shareholder in the 75% or more ownership band and a control person, since May 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"District of Columbia","offices":1,"addresses":[{"street":"1201 K St. NW","city":"Washington"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"15 Spencer Street","city":"West Newton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"617-865-5096","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Investment grade corporate bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":34},{"label":"Cash and cash equivalents","percent":25},{"label":"Other","percent":36,"detail":"Private Investments"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/309860/PDF/309860.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does CapShift Advisors have?","answer":"CapShift Advisors has 14 clients and manages $628 million for them, as of March 2026. They include 14 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does CapShift Advisors offer?","answer":"CapShift Advisors provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does CapShift Advisors use?","answer":"CapShift Advisors’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $176M and Fidelity Brokerage Services LLC (Smithfield, RI), with $118M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does CapShift Advisors have?","answer":"CapShift Advisors has 0 investment adviser representatives registered with state securities authorities, out of 16 employees, and 9 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does CapShift Advisors invest in?","answer":"At the end of its last fiscal year, CapShift Advisors’ separately managed accounts held 36% other, 34% registered funds (mutual funds, ETFs, BDCs), 25% cash and equivalents and 5% investment grade corporate bonds. The 36% other category is described as: Private Investments.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns CapShift Advisors?","answer":"CapShift Advisors’ direct owner is Capshift LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does CapShift Advisors get paid?","answer":"CapShift Advisors is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact CapShift Advisors?","answer":"CapShift Advisors’ main office is at 15 Spencer Street, West Newton, MA 02465. Its phone number is 617-865-5096. Its website is capshift.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}