Firm profile

Malabar Investments, LLC

NEW YORK, NYCRD 168091Registration Status: ApprovedEffective since July 6, 2016SEC # 801-108060Latest ADV April 29, 2026

Malabar Investments, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in New York, NY. Its latest Form ADV filing, dated April 29, 2026, reports $900M in regulatory assets under management, 20 employees, 1 office, and 6 accounts.

Assets Under Management
$900M
Employees
20
Offices
1 office
Total Clients
6

Associated firm names

1 name listed
  • MALABAR INVESTMENTS, LLC

Leadership

2 roles identified
CCOKathryn P. Beller
COOChirag Shah

Advisory services offered

1 types reported
Portfolio management for pooled investment vehicles

Fee models offered

3 types reported
Asset based fees
Other fee arrangements
Performance-based fees

Offices & Contact

Primary office

NEW YORK, New York, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

New York

NEW YORKPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$900Mas of April 29, 2026
Discretionary100.0%
$900M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentPooled Investment Vehicles represent 100.0% of total clients.
Top client categories% of clientsClients
1
Pooled Investment Vehicles
100.0%
6

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$900M
Total Accounts6
10Y AUM Change+$595M (+195.1%)

Private Funds

Private funds reported by Malabar Investments, LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees20
Clients per Employee0:1
10Y Employee Change+5 (+33.3%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
SUMEET NAGARDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
25% to < 50%
AKSHAY VIJAY MANSUKHANIDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
25% to < 50%
HOLDING CAPITAL ASSET MANAGEMENT, LLCDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
5% to < 10%
RDA VENTURES, LLCDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
5% to < 10%
VALUE FUNDS LIMITEDDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
5% to < 10%
OPPENHEIMER-CLOSE INVESTMENT PARTNERSHIP LPDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
< 5%
P. OPPENHEIMER INVESTMENT PARTNERSHIP LPDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
< 5%
ASHISH GULATIDirect owner · Schedule AInterest in MALABAR INVESTMENTS, LLC
< 5%
MARY MCLAUGHLIN SPENCERIndirect owner · Schedule BInterest in HOLDING CAPITAL ASSET MANAGEMENT, LLC
75%+
DAVID JAY BROSERIndirect owner · Schedule BInterest in RDA VENTURES, LLC
75%+
VALUE PARTNERS GROUP LIMITEDIndirect owner · Schedule BInterest in VALUE FUNDS LIMITED
75%+
CARL KIRBY OPPENHEIMERIndirect owner · Schedule BInterest in OPPENHEIMER-CLOSE INVESTMENT PARTNERSHIP LP
25% to < 50%
CARL KIRBY OPPENHEIMERIndirect owner · Schedule BInterest in P. OPPENHEIMER INVESTMENT PARTNERSHIP LP
25% to < 50%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Malabar Investments, LLC.

Reported ownership and control details

Form ADV · Filing date 2026-04-29 · Schedules A and B

19 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1HOLDING CAPITAL ASSET MANAGEMENT, LLCMEMBERDomestic entityMALABAR INVESTMENTS, LLC5% to less than 10%Code ANoMEMBER08/2008Schedule APDF page 53
2RDA VENTURES, LLCMEMBERDomestic entityMALABAR INVESTMENTS, LLC5% to less than 10%Code ANoMEMBER08/2008Schedule APDF page 53
3OPPENHEIMER-CLOSE INVESTMENT PARTNERSHIP LPMEMBERDomestic entityMALABAR INVESTMENTS, LLCLess than 5%Code NANoMEMBER05/2012Schedule APDF page 53
4P. OPPENHEIMER INVESTMENT PARTNERSHIP LPMEMBERDomestic entityMALABAR INVESTMENTS, LLCLess than 5%Code NANoMEMBER05/2012Schedule APDF page 53
5STEVEN LEISCHNERMANAGERIndividualMALABAR INVESTMENTS, LLCLess than 5%Code NAYesMANAGER08/2008Schedule APDF page 53
6SUMEET NAGARMEMBERIndividualMALABAR INVESTMENTS, LLC25% to less than 50%Code CNoMEMBER08/2008Schedule APDF page 53
7AKSHAY VIJAY MANSUKHANIMEMBERIndividualMALABAR INVESTMENTS, LLC25% to less than 50%Code CNoMEMBER12/2009Schedule APDF page 53
8VALUE FUNDS LIMITEDMEMBERForeign entityMALABAR INVESTMENTS, LLC5% to less than 10%Code ANoMEMBER08/2008Schedule APDF page 53
9CARL KIRBY OPPENHEIMERMANAGERIndividualMALABAR INVESTMENTS, LLCLess than 5%Code NAYesMANAGER05/2012Schedule APDF page 53
10ASHISH GULATIMEMBERIndividualMALABAR INVESTMENTS, LLCLess than 5%Code NANoMEMBER07/2013Schedule APDF page 53
11KATHRYN PAYNE BELLERCHIEF COMPLIANCE OFFICERIndividualMALABAR INVESTMENTS, LLCLess than 5%Code NAYesCHIEF COMPLIANCE OFFICER03/2016Schedule APDF page 53
12NIKITA CHUK FA NGMANAGERIndividualMALABAR INVESTMENTS, LLCLess than 5%Code NAYesMANAGER09/2022Schedule APDF page 53
13BRIAN JOSHUA COOPERMANAGERIndividualMALABAR INVESTMENTS, LLCLess than 5%Code NAYesMANAGER07/2025Schedule APDF page 53
14CHIRAG SHAHCHIEF OPERATING OFFICERIndividualMALABAR INVESTMENTS, LLCLess than 5%Code NAYesCHIEF OPERATING OFFICER02/2026Schedule APDF page 53
15MARY MCLAUGHLIN SPENCERMEMBERIndividualHOLDING CAPITAL ASSET MANAGEMENT, LLC75% or moreCode EYesMEMBER03/2004Schedule BPDF page 53
16CARL KIRBY OPPENHEIMERPARTNERIndividualOPPENHEIMER-CLOSE INVESTMENT PARTNERSHIP LP25% to less than 50%Code CYesPARTNER05/2012Schedule BPDF page 53
17CARL KIRBY OPPENHEIMERPARTNERIndividualP. OPPENHEIMER INVESTMENT PARTNERSHIP LP25% to less than 50%Code CYesPARTNER05/2012Schedule BPDF page 53
18DAVID JAY BROSERMEMBERIndividualRDA VENTURES, LLC75% or moreCode EYesMEMBER02/2000Schedule BPDF page 53
19VALUE PARTNERS GROUP LIMITEDSHAREHOLDERForeign entityVALUE FUNDS LIMITED75% or moreCode EYesSHAREHOLDER05/2004Schedule BPDF page 54

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 4/29/2026 11:17:49 AM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.