{ "path": "/advisors/ny/new-york/for-retirement-plans", "url": "https://advisorcensus.com/advisors/ny/new-york/for-retirement-plans/page/11", "page_type": "metro_answer", "title": "Financial advisors for retirement plans in New York, NY", "filters": {}, "scope_total": 603, "faq": [ { "q": "Which financial advisors in New York, NY work with retirement plans?", "a": "603 investment advisory firms with a principal office in the New York metro area report retirement plans 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 retirement plans. AdvisorCensus lists 603 investment advisory firms with a principal office in the New York metro area that report retirement plans 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 retirement plans in New York, NY: 603 firms from Form ADV filings as of October 2026.", "total_firms": 603, "page": 11, "total_pages": 13, "sort": "name", "registration_types": { "sec": 526, "state": 77, "exempt": 0 }, "fee_model_mix": [ { "code": "fee-only", "count": 109 }, { "code": "percentage_of_aum", "count": 583 }, { "code": "hourly", "count": 179 }, { "code": "subscription", "count": 7 }, { "code": "fixed", "count": 318 }, { "code": "commissions", "count": 21 }, { "code": "performance_based", "count": 204 }, { "code": "other", "count": 94 }, { "code": "not_reported", "count": 0 } ], "years_registered_distribution": [ { "code": "under_5", "count": 94 }, { "code": "5_to_9", "count": 99 }, { "code": "10_to_19", "count": 171 }, { "code": "20_plus", "count": 238 }, { "code": "not_reported", "count": 1 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 34 }, { "code": "25m_100m", "count": 64 }, { "code": "100m_500m", "count": 152 }, { "code": "500m_1b", "count": 64 }, { "code": "1b_5b", "count": 97 }, { "code": "over_5b", "count": 170 }, { "code": "not_reported", "count": 22 } ], "firms": [ { "crd_number": 106425, "name": "Snyder Wealth Group", "name_as_filed": "SNYDER WEALTH GROUP", "url": "https://advisorcensus.com/firm/snyder-wealth-group-medford-ny-106425", "city": "Medford", "state": "NY", "years_registered": 35, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 291738, "name": "Sona Asset Management (US) LLC", "name_as_filed": "SONA ASSET MANAGEMENT (US) LLC", "url": "https://advisorcensus.com/firm/sona-asset-management-us-llc-new-york-ny-291738", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 112326, "name": "South Street Advisors, LLC", "name_as_filed": "SOUTH STREET ADVISORS, LLC", "url": "https://advisorcensus.com/firm/south-street-advisors-llc-new-york-ny-112326", "city": "New York", "state": "NY", "years_registered": 28, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 113588, "name": "Spano Advisory Services Inc.", "name_as_filed": "SPANO ADVISORY SERVICES INC.", "url": "https://advisorcensus.com/firm/spano-advisory-services-inc-mahopac-ny-113588", "city": "Mahopac", "state": "NY", "years_registered": 25, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 147197, "name": "Spielberger & Brooks, Inc.", "name_as_filed": "SPIELBERGER & BROOKS, INC.", "url": "https://advisorcensus.com/firm/spielberger-and-brooks-inc-woodbury-ny-147197", "city": "Woodbury", "state": "NY", "years_registered": 18, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 338643, "name": "Spring Street Wealth", "name_as_filed": "SPRING STREET WEALTH", "url": "https://advisorcensus.com/firm/spring-street-wealth-new-york-ny-338643", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 283880, "name": "ST. James Investment Advisors, LLC", "name_as_filed": "ST. JAMES INVESTMENT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/st-james-investment-advisors-llc-port-jefferson-ny-283880", "city": "Port Jefferson", "state": "NY", "years_registered": 10, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 105056, "name": "Stacey Braun Associates Inc", "name_as_filed": "STACEY BRAUN ASSOCIATES INC", "url": "https://advisorcensus.com/firm/stacey-braun-associates-inc-new-york-ny-105056", "city": "New York", "state": "NY", "years_registered": 51, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 156943, "name": "Starboard Value LP", "name_as_filed": "STARBOARD VALUE LP", "url": "https://advisorcensus.com/firm/starboard-value-lp-new-york-ny-156943", "city": "New York", "state": "NY", "years_registered": 15, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 334411, "name": "Stargazer Financial Planning", "name_as_filed": "STARGAZER FINANCIAL PLANNING", "url": "https://advisorcensus.com/firm/stargazer-financial-planning-oakland-nj-334411", "city": "Oakland", "state": "NJ", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [ "hourly" ], "enhanced": false }, { "crd_number": 128859, "name": "Stawnychy Financial Services, Inc.", "name_as_filed": "STAWNYCHY FINANCIAL SERVICES, INC.", "url": "https://advisorcensus.com/firm/stawnychy-financial-services-inc-kinnelon-nj-128859", "city": "Kinnelon", "state": "NJ", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 342546, "name": "Steffens Financial Corp", "name_as_filed": "STEFFENS FINANCIAL CORP", "url": "https://advisorcensus.com/firm/steffens-financial-corp-byram-township-nj-342546", "city": "Byram Township", "state": "NJ", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 118968, "name": "Steinberg Asset Management, LLC", "name_as_filed": "STEINBERG ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/steinberg-asset-management-llc-new-york-ny-118968", "city": "New York", "state": "NY", "years_registered": 24, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 335680, "name": "Steinberganna Wealth Management LLC", "name_as_filed": "STEINBERGANNA WEALTH MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/steinberganna-wealth-management-llc-huntington-ny-335680", "city": "Huntington", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 108664, "name": "Sterling Financial Planning Inc", "name_as_filed": "STERLING FINANCIAL PLANNING INC", "url": "https://advisorcensus.com/firm/sterling-financial-planning-inc-sparta-nj-108664", "city": "Sparta", "state": "NJ", "years_registered": 27, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 169817, "name": "Stolzer Rothschild Levy LLC", "name_as_filed": "STOLZER ROTHSCHILD LEVY LLC", "url": "https://advisorcensus.com/firm/stolzer-rothschild-levy-llc-basking-ridge-nj-169817", "city": "Basking Ridge", "state": "NJ", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 164981, "name": "Stone Hill Fiduciary Management, LLC", "name_as_filed": "STONE HILL FIDUCIARY MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/stone-hill-fiduciary-management-llc-great-neck-ny-164981", "city": "Great Neck", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 124784, "name": "Stonehurst Management, LLC", "name_as_filed": "STONEHURST MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/stonehurst-management-llc-new-york-ny-124784", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 283066, "name": "Stony Point Capital", "name_as_filed": "STONY POINT CAPITAL", "url": "https://advisorcensus.com/firm/stony-point-capital-new-york-ny-283066", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 128199, "name": "Strategic Family Wealth Counselors, L.L.C.", "name_as_filed": "STRATEGIC FAMILY WEALTH COUNSELORS, L.L.C.", "url": "https://advisorcensus.com/firm/strategic-family-wealth-counselors-l-l-c-fairfield-nj-128199", "city": "Fairfield", "state": "NJ", "years_registered": 18, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 125882, "name": "Strategic Wealth Management Group", "name_as_filed": "STRATEGIC WEALTH MANAGEMENT GROUP", "url": "https://advisorcensus.com/firm/strategic-wealth-management-group-new-york-ny-125882", "city": "New York", "state": "NY", "years_registered": 21, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 307491, "name": "Stratton Capital Investment Advisory LLC", "name_as_filed": "STRATTON CAPITAL INVESTMENT ADVISORY LLC", "url": "https://advisorcensus.com/firm/stratton-capital-investment-advisory-llc-new-york-ny-307491", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 111998, "name": "Stuyvesant Capital Management Corporation", "name_as_filed": "STUYVESANT CAPITAL MANAGEMENT CORPORATION", "url": "https://advisorcensus.com/firm/stuyvesant-capital-management-corporation-armonk-ny-111998", "city": "Armonk", "state": "NY", "years_registered": 47, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 299322, "name": "Summit Financial, LLC", "name_as_filed": "SUMMIT FINANCIAL, LLC", "url": "https://advisorcensus.com/firm/summit-financial-llc-parsippany-nj-299322", "city": "Parsippany", "state": "NJ", "years_registered": 7, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 220519, "name": "Summit Trail Advisors, LLC", "name_as_filed": "SUMMIT TRAIL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/summit-trail-advisors-llc-new-york-ny-220519", "city": "New York", "state": "NY", "years_registered": 11, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 108507, "name": "Swarthmore Asset Management Ltd", "name_as_filed": "SWARTHMORE ASSET MANAGEMENT LTD", "url": "https://advisorcensus.com/firm/swarthmore-asset-management-ltd-new-york-ny-108507", "city": "New York", "state": "NY", "years_registered": 34, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 106146, "name": "Systematic Financial Management LP", "name_as_filed": "SYSTEMATIC FINANCIAL MANAGEMENT LP", "url": "https://advisorcensus.com/firm/systematic-financial-management-lp-teaneck-nj-106146", "city": "Teaneck", "state": "NJ", "years_registered": 31, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 116959, "name": "TAG Associates LLC", "name_as_filed": "TAG ASSOCIATES LLC", "url": "https://advisorcensus.com/firm/tag-associates-llc-new-york-ny-116959", "city": "New York", "state": "NY", "years_registered": 24, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 107856, "name": "Tandem Capital Management, Inc.", "name_as_filed": "TANDEM CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/tandem-capital-management-inc-woodcliff-lake-nj-107856", "city": "Woodcliff Lake", "state": "NJ", "years_registered": 35, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 335067, "name": "Taurus Financial", "name_as_filed": "TAURUS FINANCIAL", "url": "https://advisorcensus.com/firm/taurus-financial-jersey-city-nj-335067", "city": "Jersey City", "state": "NJ", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 164484, "name": "TD Private Client Wealth LLC", "name_as_filed": "TD PRIVATE CLIENT WEALTH LLC", "url": "https://advisorcensus.com/firm/td-private-client-wealth-llc-new-york-ny-164484", "city": "New York", "state": "NY", "years_registered": 13, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 122038, "name": "Teplitz Financial Group LLC", "name_as_filed": "TEPLITZ FINANCIAL GROUP LLC", "url": "https://advisorcensus.com/firm/teplitz-financial-group-llc-old-bridge-nj-122038", "city": "Old Bridge", "state": "NJ", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 106559, "name": "Thames Asset Management, Inc", "name_as_filed": "THAMES ASSET MANAGEMENT, INC", "url": "https://advisorcensus.com/firm/thames-asset-management-inc-hackensack-nj-106559", "city": "Hackensack", "state": "NJ", "years_registered": 33, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 314683, "name": "The August Wealth Management Group", "name_as_filed": "THE AUGUST WEALTH MANAGEMENT GROUP", "url": "https://advisorcensus.com/firm/the-august-wealth-management-group-new-york-ny-314683", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 289331, "name": "The Hajdari Group, LLC", "name_as_filed": "THE HAJDARI GROUP, LLC", "url": "https://advisorcensus.com/firm/the-hajdari-group-llc-staten-island-ny-289331", "city": "Staten Island", "state": "NY", "years_registered": 9, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 171533, "name": "The Investment Connection LLC", "name_as_filed": "THE INVESTMENT CONNECTION LLC", "url": "https://advisorcensus.com/firm/the-investment-connection-llc-bridgewater-nj-171533", "city": "Bridgewater", "state": "NJ", "years_registered": 12, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 110409, "name": "The Northstar Group, Inc.", "name_as_filed": "THE NORTHSTAR GROUP, INC.", "url": "https://advisorcensus.com/firm/the-northstar-group-inc-new-york-ny-110409", "city": "New York", "state": "NY", "years_registered": 34, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 164395, "name": "The Pinnacle Financial Group", "name_as_filed": "THE PINNACLE FINANCIAL GROUP", "url": "https://advisorcensus.com/firm/the-pinnacle-financial-group-rockville-centre-ny-164395", "city": "Rockville Centre", "state": "NY", "years_registered": 13, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "enhanced": false }, { "crd_number": 166593, "name": "The Portfolio Strategy Group, LLC", "name_as_filed": "THE PORTFOLIO STRATEGY GROUP, LLC", "url": "https://advisorcensus.com/firm/the-portfolio-strategy-group-llc-white-plains-ny-166593", "city": "White Plains", "state": "NY", "years_registered": 13, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "performance_based" ], "enhanced": false }, { "crd_number": 326975, "name": "The Vertical Market Intelligence Group, LLC", "name_as_filed": "THE VERTICAL MARKET INTELLIGENCE GROUP, LLC", "url": "https://advisorcensus.com/firm/the-vertical-market-intelligence-group-llc-new-york-ny-326975", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 305052, "name": "The Wealth Alliance, LLC", "name_as_filed": "THE WEALTH ALLIANCE, LLC", "url": "https://advisorcensus.com/firm/the-wealth-alliance-llc-melville-ny-305052", "city": "Melville", "state": "NY", "years_registered": 7, "raum_band": "1b_5b", "compensation_types": [ 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