{ "path": "/advisors/ny/new-york/for-businesses", "url": "https://advisorcensus.com/advisors/ny/new-york/for-businesses/page/7", "page_type": "metro_answer", "title": "Financial advisors for businesses in New York, NY", "filters": {}, "scope_total": 685, "faq": [ { "q": "Which financial advisors in New York, NY work with businesses?", "a": "685 investment advisory firms with a principal office in the New York metro area report businesses among their clients on Form ADV Item 5.D, as of October 2026; this page lists them. Form ADV Item 5.D asks every registered adviser which types of clients it advises, with the number of each and the assets it manages for them; a firm appears here when it reports at least one." }, { "q": "How many financial advisory firms are there in New York, NY?", "a": "AdvisorCensus lists 3,971 investment advisory firms with a principal office in the New York metro area, from Form ADV filings as of October 2026: 2,691 SEC-registered, 551 state-registered, and 729 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV." }, { "q": "How many fee-only financial advisors are in New York, NY?", "a": "518 of the 3,971 firms meet AdvisorCensus's fee-only test: paid only by a percentage of assets, hourly charges, fixed fees, or subscription fees on Form ADV Item 5.E (no commissions, performance-based fees, or other compensation), with no sales-related compensation ties in the same filing: no employee registered with a broker-dealer or licensed as an insurance agent (Item 5.B), no brokerage, insurance, real estate, or other product sales business (Item 6.A), no related broker-dealer, insurance company, real estate broker, or futures commission merchant (Item 7.A), and no referral fees from others or other sales interest (Item 8). Form ADV has no fee-only box, so this is derived from the filing; it is not a fee-only certification, and a firm's own page lists its compensation arrangements as filed." }, { "q": "How many financial advisors in New York, NY offer financial planning?", "a": "851 of the 3,242 firms in New York, NY that answer Form ADV Item 5.G, which asks what advisory services a firm provides, report financial planning services, as of October 2026. Exempt reporting advisers do not answer Item 5.G. Each firm page lists every advisory service the firm reports." }, { "q": "Are the financial advisors in New York, NY fiduciaries?", "a": "Every firm on this page is an investment adviser that files Form ADV, and an investment adviser owes its clients a fiduciary duty under federal law, made up of a duty of care and a duty of loyalty: it must act in the client's best interest and not put its own interests ahead of the client's, and must eliminate its conflicts of interest or disclose them fully and fairly. Form ADV has no fiduciary box because the duty comes with being an investment adviser. The duty covers the firm's advice; a firm or its people may also sell securities through a broker-dealer or insurance as licensed agents, roles held to other standards. The 518 firms that meet AdvisorCensus's fee-only test report none of those sales ties." }, { "q": "How do I check whether a financial advisor has disciplinary disclosures?", "a": "Each firm page shows how many Form ADV Item 11 disciplinary questions the firm answered yes and links to the firm's record on the SEC's Investment Adviser Public Disclosure site (adviserinfo.sec.gov), where the detail of each disclosure is public. Individual advisers' records are on the same site and on FINRA BrokerCheck." }, { "q": "Does AdvisorCensus rate, verify, or recommend these firms?", "a": "No. The directory shows what each firm filed, in alphabetical order unless you choose another sort, and no firm's position depends on payment. Firms that claim their page can add a description and links, marked as provided by the firm; the filed facts are never changed by that content." }, { "q": "What does regulatory assets under management mean?", "a": "Regulatory assets under management (RAUM) is the figure a firm reports on Form ADV Item 5.F: the securities portfolios it provides continuous and regular supervisory or management services for, at market value, including assets managed without discretion. It measures scale, not performance or quality." } ], "period": "2026-10-01", "answer_paragraph": "Find financial advisors in New York, NY who work with businesses. AdvisorCensus lists 685 investment advisory firms with a principal office in the New York metro area that report businesses among their clients, as of October 2026. Reporting a client type means the firm serves it, not that it serves only that type. Firms are listed alphabetically, and each firm's page lists its client types.", "about_market": "New York has 3,971 investment advisory firms with a principal office in the metro area as of October 2026: 2,691 SEC-registered, 551 state-registered, and 729 exempt reporting advisers. 518 of them meet AdvisorCensus's fee-only test (paid only by client fees, with no sales-related compensation ties such as an employee registered with a broker-dealer or licensed as an insurance agent), and 687 report under $100 million in regulatory assets under management. The metro area has 7,409,947 households, 1,637,705 of them with income of $200,000 or more, or 412 such households for each firm (Census Bureau, American Community Survey 2020–2024 5-year estimates).", "citation": "AdvisorCensus. Financial advisors for businesses in New York, NY: 685 firms from Form ADV filings as of October 2026.", "total_firms": 685, "page": 7, "total_pages": 14, "sort": "name", "registration_types": { "sec": 618, "state": 67, "exempt": 0 }, "fee_model_mix": [ { "code": "fee-only", "count": 129 }, { "code": "percentage_of_aum", "count": 660 }, { "code": "hourly", "count": 167 }, { "code": "subscription", "count": 11 }, { "code": "fixed", "count": 329 }, { "code": "commissions", "count": 20 }, { "code": "performance_based", "count": 270 }, { "code": "other", "count": 100 }, { "code": "not_reported", "count": 0 } ], "years_registered_distribution": [ { "code": "under_5", "count": 139 }, { "code": "5_to_9", "count": 145 }, { "code": "10_to_19", "count": 189 }, { "code": "20_plus", "count": 211 }, { "code": "not_reported", "count": 1 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 36 }, { "code": "25m_100m", "count": 70 }, { "code": "100m_500m", "count": 155 }, { "code": "500m_1b", "count": 78 }, { "code": "1b_5b", "count": 131 }, { "code": "over_5b", "count": 191 }, { "code": "not_reported", "count": 24 } ], "firms": [ { "crd_number": 124955, "name": "Income & Asset Advisory, Inc.", "name_as_filed": "INCOME & ASSET ADVISORY, INC.", "url": "https://advisorcensus.com/firm/income-and-asset-advisory-inc-armonk-ny-124955", "city": "Armonk", "state": "NY", "years_registered": 17, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 343369, "name": "Ingalls Investment Management, LLC", "name_as_filed": "INGALLS INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/ingalls-investment-management-llc-new-york-ny-343369", "city": "New York", "state": "NY", "years_registered": 58, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 324586, "name": "Innovative Private Wealth Management Inc.", "name_as_filed": "INNOVATIVE PRIVATE WEALTH MANAGEMENT INC.", "url": "https://advisorcensus.com/firm/innovative-private-wealth-management-inc-somers-ny-324586", "city": "Somers", "state": "NY", "years_registered": 3, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 145995, "name": "Insight Investment", "name_as_filed": "INSIGHT INVESTMENT", "url": "https://advisorcensus.com/firm/insight-investment-new-york-ny-145995", "city": "New York", "state": "NY", "years_registered": 17, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 172483, "name": "Integrated Wealth Solutions, LLC", "name_as_filed": "INTEGRATED WEALTH SOLUTIONS, LLC", "url": "https://advisorcensus.com/firm/integrated-wealth-solutions-llc-manalapan-nj-172483", "city": "Manalapan", "state": "NJ", "years_registered": 4, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 107590, "name": "Invesco Senior Secured Management, Inc.", "name_as_filed": "INVESCO SENIOR SECURED MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/invesco-senior-secured-management-inc-new-york-ny-107590", "city": "New York", "state": "NY", "years_registered": 34, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 314555, "name": "Invest for a Lifetime, LLC", "name_as_filed": "INVEST FOR A LIFETIME, LLC", "url": "https://advisorcensus.com/firm/invest-for-a-lifetime-llc-red-bank-nj-314555", "city": "Red Bank", "state": "NJ", "years_registered": 5, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 165140, "name": "Investcorp Credit Management US LLC", "name_as_filed": "INVESTCORP CREDIT MANAGEMENT US LLC", "url": "https://advisorcensus.com/firm/investcorp-credit-management-us-llc-new-york-ny-165140", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 121812, "name": "Investment Partners Asset Management", "name_as_filed": "INVESTMENT PARTNERS ASSET MANAGEMENT", "url": "https://advisorcensus.com/firm/investment-partners-asset-management-metuchen-nj-121812", "city": "Metuchen", "state": "NJ", "years_registered": 23, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 307544, "name": "Isometry Capital, LLC", "name_as_filed": "ISOMETRY CAPITAL, LLC", "url": "https://advisorcensus.com/firm/isometry-capital-llc-new-york-ny-307544", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 337603, "name": "Ivesta Corp", "name_as_filed": "IVESTA CORP", "url": "https://advisorcensus.com/firm/ivesta-corp-new-york-ny-337603", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 131243, "name": "J. Safra Asset Management Corporation", "name_as_filed": "J. SAFRA ASSET MANAGEMENT CORPORATION", "url": "https://advisorcensus.com/firm/j-safra-asset-management-corporation-new-york-city-ny-131243", "city": "New York City", "state": "NY", "years_registered": 22, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "enhanced": false }, { "crd_number": 107038, "name": "J.P. Morgan Investment Management Inc.", "name_as_filed": "J.P. MORGAN INVESTMENT MANAGEMENT INC.", "url": "https://advisorcensus.com/firm/j-p-morgan-investment-management-inc-new-york-ny-107038", "city": "New York", "state": "NY", "years_registered": 42, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 110186, "name": "J.P. Morgan Private Investments Inc.", "name_as_filed": "J.P. MORGAN PRIVATE INVESTMENTS INC.", "url": "https://advisorcensus.com/firm/j-p-morgan-private-investments-inc-new-york-ny-110186", "city": "New York", "state": "NY", "years_registered": 34, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 79, "name": "J.P. Morgan Securities LLC", "name_as_filed": "J.P. MORGAN SECURITIES LLC", "url": "https://advisorcensus.com/firm/j-p-morgan-securities-llc-new-york-ny-79", "city": "New York", "state": "NY", "years_registered": 61, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 335439, "name": "J.p.morgan Wealth Management Solutions Inc.", "name_as_filed": "J.P.MORGAN WEALTH MANAGEMENT SOLUTIONS INC.", "url": "https://advisorcensus.com/firm/j-p-morgan-wealth-management-solutions-inc-new-york-ny-335439", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 107022, "name": "Jacobs Levy Equity Management", "name_as_filed": "JACOBS LEVY EQUITY MANAGEMENT", "url": "https://advisorcensus.com/firm/jacobs-levy-equity-management-florham-park-nj-107022", "city": "Florham Park", "state": "NJ", "years_registered": 39, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 325411, "name": "Jaffa Capital Management LLC", "name_as_filed": "JAFFA CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/jaffa-capital-management-llc-clifton-nj-325411", "city": "Clifton", "state": "NJ", "years_registered": 3, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 314692, "name": "Jaffa Gate Research & Advisory", "name_as_filed": "JAFFA GATE RESEARCH & ADVISORY", "url": "https://advisorcensus.com/firm/jaffa-gate-research-and-advisory-millburn-nj-314692", "city": "Millburn", "state": "NJ", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 325421, "name": "Jefferies Investment Advisers LLC", "name_as_filed": "JEFFERIES INVESTMENT ADVISERS LLC", "url": "https://advisorcensus.com/firm/jefferies-investment-advisers-llc-new-york-ny-325421", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 155392, "name": "Jeffrey Matthews Wealth Management, LLC", "name_as_filed": "JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/jeffrey-matthews-wealth-management-llc-florham-park-nj-155392", "city": "Florham Park", "state": "NJ", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 107959, "name": "Jennison Associates", "name_as_filed": "JENNISON ASSOCIATES", "url": "https://advisorcensus.com/firm/jennison-associates-new-york-ny-107959", "city": "New York", "state": "NY", "years_registered": 57, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 152450, "name": "Joel Isaacson & Co., LLC", "name_as_filed": "JOEL ISAACSON & CO., LLC", "url": "https://advisorcensus.com/firm/joel-isaacson-and-co-llc-new-york-ny-152450", "city": "New York", "state": "NY", "years_registered": 16, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 105597, "name": "John W. Bristol & Co., Inc.", "name_as_filed": "JOHN W. BRISTOL & CO., INC.", "url": "https://advisorcensus.com/firm/john-w-bristol-and-co-inc-new-york-ny-105597", "city": "New York", "state": "NY", "years_registered": 48, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 20989, "name": "JPMorgan Alternative Asset Management", "name_as_filed": "JPMORGAN ALTERNATIVE ASSET MANAGEMENT", "url": "https://advisorcensus.com/firm/jpmorgan-alternative-asset-management-new-york-ny-20989", "city": "New York", "state": "NY", "years_registered": 35, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 144368, "name": "Kahn Brothers Advisors LLC", "name_as_filed": "KAHN BROTHERS ADVISORS LLC", "url": "https://advisorcensus.com/firm/kahn-brothers-advisors-llc-new-york-ny-144368", "city": "New York", "state": "NY", "years_registered": 47, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 297922, "name": "Karani Asset Management LLC", "name_as_filed": "KARANI ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/karani-asset-management-llc-new-york-ny-297922", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 129745, "name": "KDB Asset Management, LLC", "name_as_filed": "KDB ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/kdb-asset-management-llc-new-york-ny-129745", "city": "New York", "state": "NY", "years_registered": 22, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 313752, "name": "Keala Advisors", "name_as_filed": "KEALA ADVISORS", "url": "https://advisorcensus.com/firm/keala-advisors-new-york-ny-313752", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 126021, "name": "Kelleher Financial Advisors, LLC", "name_as_filed": "KELLEHER FINANCIAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/kelleher-financial-advisors-llc-new-york-ny-126021", "city": "New York", "state": "NY", "years_registered": 23, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 160432, "name": "Kimmeridge Energy Management Company, LLC", "name_as_filed": "KIMMERIDGE ENERGY MANAGEMENT COMPANY, LLC", "url": "https://advisorcensus.com/firm/kimmeridge-energy-management-company-llc-new-york-ny-160432", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 105907, "name": "Klingenstein Fields Advisors", "name_as_filed": "KLINGENSTEIN FIELDS ADVISORS", "url": "https://advisorcensus.com/firm/klingenstein-fields-advisors-new-york-ny-105907", "city": "New York", "state": "NY", "years_registered": 37, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 129105, "name": "KML Financial Services Group, L.L.C.", "name_as_filed": "KML FINANCIAL SERVICES GROUP, L.L.C.", "url": "https://advisorcensus.com/firm/kml-financial-services-group-l-l-c-manasquan-nj-129105", "city": "Manasquan", "state": "NJ", "years_registered": null, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 160745, "name": "Kohlberg & Company", "name_as_filed": "KOHLBERG & COMPANY", "url": "https://advisorcensus.com/firm/kohlberg-and-company-mount-kisco-ny-160745", "city": "Mount Kisco", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 315279, "name": "Komich Capital Advisors", "name_as_filed": "KOMICH CAPITAL ADVISORS", "url": "https://advisorcensus.com/firm/komich-capital-advisors-ronkonkoma-ny-315279", "city": "Ronkonkoma", "state": "NY", "years_registered": 4, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "enhanced": false }, { "crd_number": 333024, "name": "Kpoint Capital LLC", "name_as_filed": "KPOINT CAPITAL LLC", "url": "https://advisorcensus.com/firm/kpoint-capital-llc-manhasset-ny-333024", "city": "Manhasset", "state": "NY", "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 108604, "name": "Ladenburg Thalmann Asset Management Inc", "name_as_filed": "LADENBURG THALMANN ASSET MANAGEMENT INC", "url": "https://advisorcensus.com/firm/ladenburg-thalmann-asset-management-inc-new-york-ny-108604", "city": "New York", "state": "NY", "years_registered": 28, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 150040, "name": "Laidlaw Wealth Management LLC", "name_as_filed": "LAIDLAW WEALTH MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/laidlaw-wealth-management-llc-new-york-ny-150040", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 166526, "name": "Lake Hill Capital Management, LLC", "name_as_filed": "LAKE HILL CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/lake-hill-capital-management-llc-new-york-ny-166526", "city": "New York", "state": "NY", "years_registered": 13, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 158693, "name": "Landmark Wealth Management, LLC", "name_as_filed": "LANDMARK WEALTH MANAGEMENT, 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