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Battlefin Asset Management, LLC (Rowayton)


Battlefin Asset Management, LLC is a large advisory firm based in Rowayton. It manages $161 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of Connecticut.

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Battlefin Asset Management provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Battlefin Asset Management: assets under management

The assets under management (AUM) of Battlefin Asset Management, LLC is $161 million. The company doesn't manage any assets belonging to foreign clients.


The firm manages $61 million in discretionary accounts and $100 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $12.2 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $100 million.
Battlefin Asset Management has custody of $5 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Battlefin Asset Management, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Llc Mag Ventures Member 1 Jan 2016 25% - 50% 20-3963759
Timothy Harrington Member 1 Jan 2016 50% - 75% xxx-xx-xxxx

Based in Rowayton

The principal office where Battlefin Asset Management, LLC performs its advisory services is located at 143 Rowayton Avenue, Rowayton, CT 06853, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-201-5373. The normal business hours are 9am-5pm on Monday - Friday. You can find more information about the New York firm at battlefin.com/.


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