# NBT CAPITAL MANAGEMENT, INC.

NBT CAPITAL MANAGEMENT, INC. of NORWICH, NY is an SEC-registered investment adviser.

## Registration

- CRD: 104932
- Type: SEC-registered investment adviser
- SEC file number: 801-30786
- Location: 52 SOUTH BROAD STREET, NORWICH, NY, 13815
- Phone: 607-584-4141
- Latest filing: 2026-06-04
- Regulatory AUM: $1.6B
- Discretionary AUM: $1.2B
- Non-discretionary AUM: $365.8M
- Clients: 15
- Accounts: 1,308

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions

## Officers, owners & control persons (16)

| Name | Role | Location |
| --- | --- | --- |
| Ruth Halley Mahoney | CHIEF EXECUTIVE OFFICER | — |
| Douglas Jon Coggins | CHIEF COMPLIANCE OFFICER | — |
| ROSPLOCK KENNETH DALE | CHIEF COMPLIANCE OFFICER; PRESIDENT; PRESIDENT,SECRETARY,CHIEF COMPLIANCE OFFICER (+5 more) | — |
| GASPER THOMAS RICHARD | VICE-PRESIDENT, TREASURER, CHIEF INVESTMENT OFFICER | — |
| MURPHY BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER; CHIEL COMPLIANCE OFFICER; COMPLIANCE OFFICER (+1 more) | — |
| BARTLOW KATHLEEN OGOZALY | CHIEF OPERATIONS OFFICER | — |
| ROSPLOCK CYNTHIA ROBINSON | CHIEF FINANCIAL OFFICER | — |
| SEDOR JR ROBERT MICHAEL | SECRETARY; VICE-PRESIDENT & SECRETARY | — |
| HOAG DEBRA ANN | CHIEF COMPLIANCE OFFICER | — |
| ROSPLOCK HELEN MARGARET | TREASURER | — |
| ORTA MANUEL S | CEO | — |
| REVOIR LEONA ANN | CHIEF COMPLIANCE OFFICER | — |
| VOSS BRIAN ANDREW | CHIEF EXECUTIVE OFFICER | — |
| WILCOX TODD M | CHIEF COMPLIANCE OFFICER | — |
| MAHONEY RUTH HALLEY | CEO | — |
| Coggins Douglas Jon | CHIEF COMPLIANCE OFFICER | — |


## Branch offices (4)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| PEORIA | IL | 3 | 309-671-4200 |
| MILWAUKEE | WI | 2 | 414-431-6491 |
| SARATOGA SPRINGS | NY | 1 | 518-587-0490 |
| — | — | 1 | 251-209-2355 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/104932/brochure
- Similar advisers: https://search.stillhousedata.com/firm/104932/similar
- Related entities: https://search.stillhousedata.com/firm/104932/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/104932

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.