C
Contessa Capital
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$12,666,868
Clients
7
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
7
Very LowAverage account size
$1,809,553
About
Contessa Capital is a small independent advisory firm that works with individual clients to provide tailored investment management and financial planning services. The firm offers standalone financial planning, a 12‑month One Year Financial Fitness Program, and a combined investment management plus ongoing comprehensive planning engagement that links portfolio management and planning into a single relationship.
The firm’s investment process centers on strategic asset allocation with the ability to make tactical shifts, and it uses a mix of passive and active vehicles; analysis methods cited include fundamental, technical, charting, and cyclical approaches and the brochure references Modern Portfolio Theory as an organizing framework. Contessa Capital provides both discretionary and non‑discretionary management, aggregates household accounts (including employer‑sponsored plans) for sizing, and generally recommends Charles Schwab as custodian and broker for execution and custody services.
What is notable about the firm is its very small scale and solo structure: the brochure reports approximately $9.3 million in discretionary assets under management and a client base of five, managed by a single advisor. The principal holds a CFA charter and multiple securities industry qualifications, the firm operates on a fee‑only basis, and the brochure discloses the principal’s outside writing activity as a paid contributor to an online magazine (“The Digital Party”), authoring an occasional series titled “How To Stay Rich.”
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Occupation focus
Founder/Business Owner
Fee options
One Year Financial Fitness Program: Upfront fee $1,000 - $5,000 plus ongoing quarterly fee $1,000 - $1,500 (dependent on complexity and client needs)
$0 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.75% $3,000,001 - $5,000,000: 0.60% $5,000,001 - $7,500,000: 0.50% $7,500,001+: Negotiable
Minimum fee: $5,000 annual minimum fee for investment management services Fee-only: Fee-only compensation; no commissions or sales charges accepted
Main office location
Contessa Capital
New York NY, United States
Number of offices
1
Most active in
Contessa Capital has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
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