Belle Haven Investments, L.P.
- Regulatory AUM
- $24.5B
- Discretionary
- $24.5B
- Clients
- 27,602
- Avg AUM / client
- $886K
- Accounts
- 27,599
- Employees
- 47
AUM over time
Annual snapshots from Form ADV filings · as of Jul 01, 2026
Asset allocation (SMA assets by investment type)
as of Jul 01, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 22,056 | $8.4B | 34.1% |
| High net worth individuals | 4,579 | $12.2B | 49.7% |
| Banking or thrift institutions | 2 | $1.9M | 0.01% |
| Investment companies | 2 | $1.4B | 5.84% |
| Pooled investment vehicles (non-investment companies) | 1 | $18.4M | 0.08% |
| Pension and profit sharing plans | 24 | $173M | 0.71% |
| Charitable organizations | 281 | $652M | 2.67% |
| State or municipal government entities | 20 | $142M | 0.58% |
| Insurance companies | 4 | $85.8M | 0.35% |
| Corporations and other businesses | 633 | $1.4B | 5.88% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Jul 2024 · $20.6M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Belle Haven Aggressive Muni, L.P. | Other Private Fund | Connecticut | $20.6M | 13 |
People (23)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Matthew Dalton | Limited Partner,Ceo | May 1999 (27y) | 75% or more | |
| Chapman, Laura Jean | Chief Operating Officer | Oct 2012 (14y) | Less than 5% | |
| Melissa Ann Chaffee | Chief Compliance Officer | Jun 2019 (7y) | Less than 5% | |
| Menna, Michael Dominick | Chief Financial Officer/Finop | Mar 2023 (3y) | Less than 5% | |
| Scott Joseph Tallman | Registered representative | Aug 2018 (8y) | ||
| Stanley Bill Sattler | Registered representative | Dec 2018 (8y) | ||
| Mason James Durand | Registered representative | Jan 2019 (8y) | ||
| Ross Eric Ingber | Registered representative | Jun 2020 (6y) | ||
| James Alan Lyman | Registered representative | May 2023 (3y) | ||
| Dora D Lee | Registered representative | Apr 2025 (1y) | ||
| Richard Henry Holzinger | Registered representative | May 2025 (1y) | ||
| Lincoln Henry James | Registered representative | May 2025 (1y) | ||
| Duwayne Omar Walker | Registered representative | Jun 2025 (1y) | ||
| Andres Falcon Gimenez | Registered representative | Jul 2025 (1y) | ||
| Cuong Luong | Registered representative | Jul 2025 (1y) | ||
| Amanda Tronni | Registered representative | Aug 2025 (1y) | ||
| Thomas J Rossley | Registered representative | Aug 2025 (1y) | ||
| Ryan Adam Ciavarelli | Registered representative | CFA | Sep 2025 (1y) | |
| Brandon Rook | Registered representative | Sep 2025 (1y) | ||
| Mark Christiana | Registered representative | Dec 2025 (1y) | ||
| Anthony Goncalves Nogueira | Registered representative | Jan 2026 (1y) | ||
| Summer G Weiss | Registered representative | Jan 2026 (1y) | ||
| Matthew Sherman Thomas | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Belle Haven Capital Management, Inc. | General Partner | Jan 1994 | A | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $20.6M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Belle Haven Aggressive Muni, L.P. | Other Private Fund | $20.6M | $1.0M | 13 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 1.35 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FINRA ALLEGED VARIOUS VIOLATIONS OF FINRA AND SEC RULES RELATING TO 2013 TRADE REPORTING TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE") AND THE MUNICIPAL SECURITIES RULEMAKING BOARD'S ("MSRB") REAL-TIME TRANSACTION REPORTING SYSTEM ("RTRS") RULES. Status: Final Sanction Detail: MONETARY FINE WAS PAID ON JULY 10, 2015 Summary: IN 2015, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OR FINDINGS OF FINRA, THE FIRM CONSENTED TO THE IMPOSITION OF A CENSURE AND A FINE IN THE AMOUNT OF TWENTY-TWO THOUSAND FIVE HUNDRED DOLLARS ($22,500). FINRA FOUND VARIOUS VIOLATIONS OF FINRA AND SEC RULES RELATING TO 2013 TRADE REPORTING TO THE TRADE REPORTING AND COMPLIANCE ENGINE ("TRACE") AND THE MUNICIPAL SECURITIES RULEMAKING BOARD'S ("MSRB") REAL-TIME TRANSACTION REPORTING SYSTEM ("RTRS") RULES. A PORTION OF THE TRADE REPORTING VIOLATION IS BASED UPON THE REQUIREMENT THAT BROKER-DEALERS TRADING IN MUNICIPAL SECURITIES, CORPORATE DEBT SECURITIES AND SECURITIZED PRODUCTS ARE REQUIRED TO REPORT TRANSACTIONS TO THE REGULATORY VEHICLE DESIGNATED FOR TRADE REPORTING WITHIN 15 MINUTES OF THE TRANSACTION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $4.7B (19% of AUM) Jul 2026
- Wells Fargo $3.4B (14% of AUM) Jul 2026
- National Financial Services (Fidelity) $3.4B (14% of AUM) Jul 2026
- Pershing $2.6B (11% of AUM) Jul 2026
- Fidelity Brokerage Services $2.5B (10% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 01, 2026.
View current Form ADV (SEC/IAPD) ↗