Traub Capital Management provides financial planning, portfolio management for individuals and small businesses, and education planning. Financial planning was provided to 51–100 clients last fiscal year.
Traub Capital Management reports 131 clients. They include 70 high-net-worth individuals, 59 individual clients and 1 pension or profit-sharing plan. Of its assets, 98.4% ($207M across 130 accounts) are managed with discretion; $3.37M across 1 account is not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 45% | 7% |
| High-net-worth individuals | 53% | 91% |
| Pension and profit-sharing plans | <1% | 1% |
| 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) | 59 | $14M | 6.7% | $238K |
| High-net-worth individuals | 70 | $192M | 91.3% | $2.75M |
| Pension and profit-sharing plans | 1 | $2.74M | 1.3% | $2.74M |
| Corporations and other businesses | 1 | $1.56M | 0.7% | $1.56M |
| Total | 131 | $211M | 100% | $1.61M |
- Clients
- 59
- Regulatory AUM
- $14M
- AUM share
- 6.7%
- Avg. per client
- $238K
- Clients
- 70
- Regulatory AUM
- $192M
- AUM share
- 91.3%
- Avg. per client
- $2.75M
- Clients
- 1
- Regulatory AUM
- $2.74M
- AUM share
- 1.3%
- Avg. per client
- $2.74M
- Clients
- 1
- Regulatory AUM
- $1.56M
- AUM share
- 0.7%
- Avg. per client
- $1.56M
Total
- Clients
- 131
- Regulatory AUM
- $211M
- AUM share
- 100%
- Avg. per client
- $1.61M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Traub Capital Management is paid through a percentage of assets under management and hourly charges. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure.
Heydon Traub owns 75% or more of Traub Capital Management. The leadership team of Traub Capital Management includes Chief Compliance Officer Heydon Traub. It has 4 employees.
Leadership
- Heydon TraubManaging Member and Chief Compliance Officer
Investment adviser representatives
3 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 4 in advisory functions
- 1 state-registered rep
- Owns 75% or more of Traub Capital Management, LLC
Heydon Traub
Control person · since October 2003
Traub Capital Management’s regulatory assets grew 1.7× from $126M (February 2021) to $211M (March 2026); clients rose from 88 to 131 and employees from 3 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $211M | 131 | 4 | 1 |
| March 2025 | $169M | 132 | 4 | 1 |
| February 2024 | $150M | 122 | 3 | 1 |
| March 2023 | $137M | 113 | 3 | 1 |
| February 2022 | $149M | 94 | 3 | 1 |
| February 2021 | $126M | 88 | 3 | 1 |
Besides its headquarters, Traub Capital Management has 0 offices, with 1 listed address in Massachusetts.
Massachusetts · 1 listed address
- 97 Chapel St, Suite 7, NeedhamHQ
Contact and registration details
- Legal name
- Traub Capital Management, LLC
- Headquarters
- 97 Chapel St, Suite 7, Needham, MA 02492-2680
- Website
- traubcapital.com
- Phone
- 781-453-3929
- SEC file
- 801-70068
- Founded
- 2003
- Structure
- Delaware LLC
- Fiscal year end
- December
Traub Capital Management uses Fidelity ($133M, 99%) and Charles Schwab ($1.61M, 1%) as custodians for its separately managed accounts. Traub Capital Management does not have custody of client assets.
- FidelityFidelity Brokerage Services LLC · Boston, MA · $133M99%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $1.61M1%
At year end, Traub Capital Management’s separately managed accounts were mostly in funds (69%) and stocks (30%). Its reported 13F holdings for the quarter ended 30 June 2026 total $112M across 132 positions; the largest are Apple Inc. (6.0%), Vanguard Scottsdale Fds (5.0%) and Janus Detroit Str TR (4.8%).
What the accounts hold
- Stocks30%
- Funds69%
- Cash1%
Reported 13F holdings
- $112M
- Reported 13F value
- 132
- Positions
- 36.0%
- In the 10 largest
- +11.2%
- Value vs. prior quarter
- Apple Inc.6.0%
- Vanguard Scottsdale Fds · Shrt Trm Corp. BD5.0%
- Janus Detroit Str TR · Hendrson Aaa CL4.8%
- Alphabet Inc. · Cap Stk CL A4.2%
- Schwab Strategic TR · Fundamental US S3.6%
- Dell Technologies Inc. · CL C2.7%
- Janus Detroit Str TR · Henderson Mtg2.6%
- Schwab Strategic TR · Fundamental Intl2.5%
- Microsoft Corp.2.5%
- SPDR Series Trust · ST Str BL 12 ETF2.2%
Together, the ten largest are 36.0% of reported value.
How many clients does Traub Capital Management have?
Traub Capital Management has 131 clients and manages $211 million for them, as of March 2026. They include 70 high-net-worth individuals, 59 individual clients and 1 pension or profit-sharing plan.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026
What services does Traub Capital Management offer?
Traub Capital Management provides financial planning, portfolio management for individuals and small businesses, and education planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Traub Capital Management use?
Traub Capital Management’s separately managed account assets are held at Fidelity Brokerage Services LLC (Boston, MA), with $133M and Charles Schwab & Co., Inc. (San Francisco, CA), with $1.61M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026
How many financial advisors does Traub Capital Management have?
Traub Capital Management has 1 investment adviser representative registered with state securities authorities, out of 4 employees, and 4 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
What does Traub Capital Management invest in?
At the end of its last fiscal year, Traub Capital Management’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 30% exchange-traded equities 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 Traub Capital Management?
Traub Capital Management’s direct owner is Heydon Traub (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 5 March 2026
How does Traub Capital Management get paid?
Traub Capital Management is paid through a percentage of assets under management and hourly charges. 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
Is Traub Capital Management registered with the SEC?
Yes, Traub Capital Management has been registered with the SEC as an investment adviser since 16 April 2009. Its CRD number is 136851 and its SEC file number is 801-70068.
Source: Form ADV Part 1A, Item 1, filed 5 March 2026; IAPD firm record
How do I contact Traub Capital Management?
Traub Capital Management’s main office is at 97 Chapel St, Suite 7, Needham, MA 02492-2680. Its phone number is 781-453-3929. Its website is traubcapital.com.