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Donald Davis Capelin

The Herbst Group, LLC

Westport, CT

New York, NY

CRD 1213464

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Employer firm

The Herbst Group, LLC CRD 309319

$205M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
The Herbst Group, Llc

Westport, CT • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-15
CT RA APPROVED 2020-07-24
  • NY RA
    APPROVED
    Since 2021-06-15
  • CT RA
    APPROVED
    Since 2020-07-24

Branch Locations

Westport, CT • United States

New York, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Herbst Group, Llc New York NY 07/2020 Present
Five Iron Capital Management New York NY 07/2010 07/2020
  • 07/2020 → Present
    The Herbst Group, Llc
    New York, NY
  • 07/2010 → 07/2020
    Five Iron Capital Management
    New York, NY
Previous Registrations
  • 2008-09-23 → 2008-12-11
    Topos Llc
    Stamford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-16
S63 Uniform Securities Agent State Law Examination 1984-12-21
  • S65 Uniform Investment Adviser Law Examination
    2014-06-16
  • S63 Uniform Securities Agent State Law Examination
    1984-12-21
Other Names
  • Don Capelin

View on SEC IAPD

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