Northcape Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, divorce planning, education planning, estate planning, insurance, philanthropic planning, and tax planning.
Northcape Wealth Management reports 594 clients. They include 404 individual clients, 166 high-net-worth individuals and 16 charitable organizations. Of its assets, 94.5% ($667M across 1,356 accounts) are managed with discretion; $39.1M across 38 accounts are not. A wrap fee program the firm both sponsors and manages holds $1.36B. Of its clients, 1% are outside the U.S. It advised 10 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 68% | 20% |
| High-net-worth individuals | 28% | 76% |
| Charitable organizations | 3% | 3% |
| Corporations and other businesses | 1% | 1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 404 | $139M | 19.7% | $344K |
| High-net-worth individuals | 166 | $535M | 75.8% | $3.23M |
| Charitable organizations | 16 | $21.6M | 3.1% | $1.35M |
| Corporations and other businesses | 8 | $10.2M | 1.4% | $1.28M |
| Total | 594 | $706M | 100% | $1.19M |
- Clients
- 404
- Regulatory AUM
- $139M
- AUM share
- 19.7%
- Avg. per client
- $344K
- Clients
- 166
- Regulatory AUM
- $535M
- AUM share
- 75.8%
- Avg. per client
- $3.23M
- Clients
- 16
- Regulatory AUM
- $21.6M
- AUM share
- 3.1%
- Avg. per client
- $1.35M
- Clients
- 8
- Regulatory AUM
- $10.2M
- AUM share
- 1.4%
- Avg. per client
- $1.28M
Total
- Clients
- 594
- Regulatory AUM
- $706M
- AUM share
- 100%
- Avg. per client
- $1.19M
- Clients outside the U.S.
- 1%
- Clients advised without assets under management last fiscal year
- 10
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 0
Northcape Wealth Management charges up to 1.50% a year for its Investment and Wealth Management Services. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting Services
- Billed hourly or at a fixed rate in advance; hourly fees generally range up to $400 per hour.
- Wells Fargo Advisors Programs
- Maximum annual advisory fees of 1.50% (Personalized Unified Managed Account, Private Adviser Network) and 1.25% (FundSource), inclusive of the firm’s fee; third-party manager fees are extra.
Erik O'Neill owns 75% or more of Northcape Wealth Management. The leadership team of Northcape Wealth Management includes Chief Compliance Officer Kenji Kimura. It has 6 employees, 3 of them in advisory roles.
Staff
- 6 employees
- 3 in advisory functions
- 4 state-registered reps
- 1 insurance agent
- Owns 75% or more of Northcape Wealth Management, LLC
Erik O'Neill
Control person · since January 2021
Northcape Wealth Management’s regulatory assets grew from $472M (June 2021) to $706M (August 2026); clients rose from 561 to 594 and employees from 5 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Aug 2026August 2026 | $706M | 594 | 6 | 2 |
| Jun 2025June 2025 | $615M | 636 | 6 | 2 |
| Mar 2024March 2024 | $566M | 600 | 6 | 2 |
| Mar 2023March 2023 | $493M | 629 | 6 | 2 |
| Mar 2022March 2022 | $518M | 600 | 5 | 2 |
| Jun 2021June 2021 | $472M | 561 | 5 | 2 |
Besides its headquarters, Northcape Wealth Management has 1 office, with 2 listed addresses in 1 state.
New York · 2 listed addresses
- 6565 Main Street, WilliamsvilleHQ
- 514 Bewley Building, Lockport
Contact and registration details
- Legal name
- Northcape Wealth Management, LLC
- Headquarters
- 6565 Main Street, Williamsville, NY 14221
- Website
- Not reported
- Phone
- 716326565
- @northcape-wealth-management
- SEC file
- 801-120425
- Structure
- Delaware LLC
- Fiscal year end
- December
Northcape Wealth Management’s named custodian for separately managed accounts is Wells Fargo Clearing Services ($706M). Northcape Wealth Management has custody of $108M for 57 clients.
- Wells Fargo Clearing ServicesWells Fargo Clearing Services, LLC · St. Louis, MO · $706M100%
At year end, Northcape Wealth Management’s separately managed accounts were mostly in stocks (55%) and funds (28%). Its reported 13F holdings for the quarter ended 30 June 2026 total $381M across 144 positions; the largest are SPDR Gold TR (6.6%), Janus Detroit Str TR (5.1%) and Blackrock ETF Trust II (4.9%).
What the accounts hold
- Stocks55%
- Funds28%
- Bonds16%
- U.S. government and agency bonds13%
- State and local bonds2%
- Investment grade corporate bonds1%
- Cash1%
How many clients does Northcape Wealth Management have?
Northcape Wealth Management has 594 clients and manages $706 million for them, as of August 2026. They include 404 individual clients, 166 high-net-worth individuals and 16 charitable organizations.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 17 August 2026
What services does Northcape Wealth Management offer?
Northcape Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, divorce planning, education planning, estate planning, insurance, philanthropic planning, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Northcape Wealth Management charge?
Northcape Wealth Management charges up to 1.50% a year for its Investment and Wealth Management Services. The fee is billed in advance and is negotiable.
Source: NORTHCAPE WEALTH MANAGEMENT FORM ADV PART 2A BROCHURE, filed 18 March 2026
Which custodians does Northcape Wealth Management use?
Northcape Wealth Management’s separately managed account assets are held at Wells Fargo Clearing Services, LLC (St. Louis, MO), with $706M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 August 2026
How many financial advisors does Northcape Wealth Management have?
Northcape Wealth Management has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Northcape Wealth Management invest in?
At the end of its last fiscal year, Northcape Wealth Management’s separately managed accounts held 55% exchange-traded equities, 28% registered funds (mutual funds, ETFs, BDCs), 13% U.S. government and agency bonds, 2% state and local bonds, 1% investment grade corporate bonds and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Northcape Wealth Management?
Northcape Wealth Management’s direct owner is Erik O'Neill (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 17 August 2026
How does Northcape Wealth Management get paid?
Northcape Wealth Management is paid through a percentage of assets under management, hourly charges 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
How do I contact Northcape Wealth Management?
Northcape Wealth Management’s main office is at 6565 Main Street, Williamsville, NY 14221. Its phone number is 716326565.