{ "path": "/advisors/ny/new-york/for-retirement-plans", "url": "https://advisorcensus.com/advisors/ny/new-york/for-retirement-plans/page/2", "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": 2, "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": 149326, "name": "Baird Strategas LLC", "name_as_filed": "BAIRD STRATEGAS LLC", "url": "https://advisorcensus.com/firm/baird-strategas-llc-new-york-ny-149326", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "not_reported", "compensation_types": [ "fixed", "other" ], "enhanced": false }, { "crd_number": 110791, "name": "Baron Capital Management, Inc.", "name_as_filed": "BARON CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/baron-capital-management-inc-new-york-ny-110791", "city": "New York", "state": "NY", "years_registered": 43, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 119672, "name": "Beacon Financial Advisors", "name_as_filed": "BEACON FINANCIAL ADVISORS", "url": "https://advisorcensus.com/firm/beacon-financial-advisors-rye-brook-ny-119672", "city": "Rye Brook", "state": "NY", "years_registered": 13, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 226547, "name": "Beacon Trust", "name_as_filed": "BEACON TRUST", "url": "https://advisorcensus.com/firm/beacon-trust-morristown-nj-226547", "city": "Morristown", "state": "NJ", "years_registered": 11, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 105466, "name": "Beck, Mack & Oliver LLC", "name_as_filed": "BECK, MACK & OLIVER LLC", "url": "https://advisorcensus.com/firm/beck-mack-and-oliver-llc-new-york-ny-105466", "city": "New York", "state": "NY", "years_registered": 85, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 142480, "name": "Beckerman Wealth", "name_as_filed": "BECKERMAN WEALTH", "url": "https://advisorcensus.com/firm/beckerman-wealth-ocean-grove-nj-142480", "city": "Ocean Grove", "state": "NJ", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 29278, "name": "Belle Haven Investments, L.P.", "name_as_filed": "BELLE HAVEN INVESTMENTS, L.P.", "url": "https://advisorcensus.com/firm/belle-haven-investments-l-p-rye-brook-ny-29278", "city": "Rye Brook", "state": "NY", "years_registered": 20, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 111188, "name": "Bellwether Consulting LLC", "name_as_filed": "BELLWETHER CONSULTING LLC", "url": "https://advisorcensus.com/firm/bellwether-consulting-llc-millburn-nj-111188", "city": "Millburn", "state": "NJ", "years_registered": 25, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 149117, "name": "Betterment", "name_as_filed": "BETTERMENT", "url": "https://advisorcensus.com/firm/betterment-new-york-ny-149117", "city": "New York", "state": "NY", "years_registered": 17, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 291459, "name": "Blackdiamond Wealth Management, LLC", "name_as_filed": "BLACKDIAMOND WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/blackdiamond-wealth-management-llc-new-york-ny-291459", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 107105, "name": "Blackrock Financial Management, Inc", "name_as_filed": "BLACKROCK FINANCIAL MANAGEMENT, INC", "url": "https://advisorcensus.com/firm/blackrock-financial-management-inc-new-york-ny-107105", "city": "New York", "state": "NY", "years_registered": 31, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 109457, "name": "Blackrock Realty Advisors Inc", "name_as_filed": "BLACKROCK REALTY ADVISORS INC", "url": "https://advisorcensus.com/firm/blackrock-realty-advisors-inc-new-york-ny-109457", "city": "New York", "state": "NY", "years_registered": 29, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 107580, "name": "Blackstone Alternative Asset Management L.P.", "name_as_filed": "BLACKSTONE ALTERNATIVE ASSET MANAGEMENT L.P.", "url": "https://advisorcensus.com/firm/blackstone-alternative-asset-management-l-p-new-york-ny-107580", "city": "New York", "state": "NY", "years_registered": 30, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 120934, "name": "Blackstone Asset Based Finance Advisors LP", "name_as_filed": "BLACKSTONE ASSET BASED FINANCE ADVISORS LP", "url": "https://advisorcensus.com/firm/blackstone-asset-based-finance-advisors-lp-new-york-ny-120934", "city": "New York", "state": "NY", "years_registered": 24, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 134018, "name": "Blackstone Credit Systematic Strategies LLC", "name_as_filed": "BLACKSTONE CREDIT SYSTEMATIC STRATEGIES LLC", "url": "https://advisorcensus.com/firm/blackstone-credit-systematic-strategies-llc-new-york-ny-134018", "city": "New York", "state": "NY", "years_registered": 21, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 152294, "name": "Blackstone Liquid Credit Advisors I LLC", "name_as_filed": "BLACKSTONE LIQUID CREDIT ADVISORS I LLC", "url": "https://advisorcensus.com/firm/blackstone-liquid-credit-advisors-i-llc-new-york-ny-152294", "city": "New York", "state": "NY", "years_registered": 16, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 153570, "name": "Blank Equity Management LLC", "name_as_filed": "BLANK EQUITY MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/blank-equity-management-llc-port-washington-ny-153570", "city": "Port Washington", "state": "NY", "years_registered": 12, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 317803, "name": "Bloomschon CPAS LLC", "name_as_filed": "BLOOMSCHON CPAS LLC", "url": "https://advisorcensus.com/firm/bloomschon-cpas-llc-jericho-ny-317803", "city": "Jericho", "state": "NY", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 297506, "name": "Blue Owl Credit Private Fund Advisors LLC", "name_as_filed": "BLUE OWL CREDIT PRIVATE FUND ADVISORS LLC", "url": "https://advisorcensus.com/firm/blue-owl-credit-private-fund-advisors-llc-new-york-ny-297506", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 166617, "name": "Blue Point Strategic Wealth Management, LLC", "name_as_filed": "BLUE POINT STRATEGIC WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/blue-point-strategic-wealth-management-llc-fair-lawn-nj-166617", "city": "Fair Lawn", "state": "NJ", "years_registered": 8, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 296802, "name": "Blue Square Asset Management, LLC", "name_as_filed": "BLUE SQUARE ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/blue-square-asset-management-llc-new-york-ny-296802", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 106108, "name": "BNY Mellon Advisors, Inc.", "name_as_filed": "BNY MELLON ADVISORS, INC.", "url": "https://advisorcensus.com/firm/bny-mellon-advisors-inc-new-york-ny-106108", "city": "New York", "state": "NY", "years_registered": 30, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 231, "name": "BNY Mellon Securities Corporation", "name_as_filed": "BNY MELLON SECURITIES CORPORATION", "url": "https://advisorcensus.com/firm/bny-mellon-securities-corporation-new-york-ny-231", "city": "New York", "state": "NY", "years_registered": 29, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 301066, "name": "Bone Fide Wealth", "name_as_filed": "BONE FIDE WEALTH", "url": "https://advisorcensus.com/firm/bone-fide-wealth-new-york-ny-301066", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 105255, "name": "Boyar Asset Management, Inc.", "name_as_filed": "BOYAR ASSET MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/boyar-asset-management-inc-new-york-ny-105255", "city": "New York", "state": "NY", "years_registered": 43, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 333795, "name": "BQS Financial Advisors, LLC", "name_as_filed": "BQS FINANCIAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/bqs-financial-advisors-llc-new-york-ny-333795", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 108894, "name": "Brave Warrior Advisors, LLC", "name_as_filed": "BRAVE WARRIOR ADVISORS, LLC", "url": "https://advisorcensus.com/firm/brave-warrior-advisors-llc-new-york-ny-108894", "city": "New York", "state": "NY", "years_registered": 39, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 144078, "name": "Brigade Capital Management, LP", "name_as_filed": "BRIGADE CAPITAL MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/brigade-capital-management-lp-new-york-ny-144078", "city": "New York", "state": "NY", "years_registered": 17, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 153055, "name": "Brock Fiduciary Services LLC", "name_as_filed": "BROCK FIDUCIARY SERVICES LLC", "url": "https://advisorcensus.com/firm/brock-fiduciary-services-llc-new-york-ny-153055", "city": "New York", "state": "NY", "years_registered": 16, "raum_band": "500m_1b", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 110497, "name": "Brookfield Public Securities Group LLC", "name_as_filed": "BROOKFIELD PUBLIC SECURITIES GROUP LLC", "url": "https://advisorcensus.com/firm/brookfield-public-securities-group-llc-new-york-ny-110497", "city": "New York", "state": "NY", "years_registered": 37, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 338189, "name": "Brown Brothers Harriman Credit Partners, LLC", "name_as_filed": "BROWN BROTHERS HARRIMAN CREDIT PARTNERS, LLC", "url": "https://advisorcensus.com/firm/brown-brothers-harriman-credit-partners-llc-new-york-ny-338189", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 323195, "name": "Bruderman Private Wealth", "name_as_filed": "BRUDERMAN PRIVATE WEALTH", "url": "https://advisorcensus.com/firm/bruderman-private-wealth-locust-valley-ny-323195", "city": "Locust Valley", "state": "NY", "years_registered": 4, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 128557, "name": "BSP NY LLC", "name_as_filed": "BSP NY LLC", "url": "https://advisorcensus.com/firm/bsp-ny-llc-new-york-ny-128557", "city": "New York", "state": "NY", "years_registered": 22, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 152538, "name": "BTG Pactual Asset Management US , LLC", "name_as_filed": "BTG PACTUAL ASSET MANAGEMENT US , LLC", "url": "https://advisorcensus.com/firm/btg-pactual-asset-management-us-llc-new-york-ny-152538", "city": "New York", "state": "NY", "years_registered": 16, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "commissions", "performance_based", "other" ], "enhanced": false }, { "crd_number": 131688, "name": "Buckman Advisory Group LLC", "name_as_filed": "BUCKMAN ADVISORY GROUP LLC", "url": "https://advisorcensus.com/firm/buckman-advisory-group-llc-little-silver-nj-131688", "city": "Little Silver", "state": "NJ", "years_registered": 22, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "commissions" ], "enhanced": false }, { "crd_number": 151585, "name": "Bulldog Investors, LLP", "name_as_filed": "BULLDOG INVESTORS, LLP", "url": "https://advisorcensus.com/firm/bulldog-investors-llp-saddle-brook-nj-151585", "city": "Saddle Brook", "state": "NJ", "years_registered": 17, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 125221, "name": "Byrne Asset Management, LLC", "name_as_filed": "BYRNE ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/byrne-asset-management-llc-kingston-nj-125221", "city": "Kingston", "state": "NJ", "years_registered": 23, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 282078, "name": "Byron Place Capital Management, LLC", "name_as_filed": "BYRON PLACE CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/byron-place-capital-management-llc-metuchen-nj-282078", "city": "Metuchen", "state": "NJ", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 106752, "name": "C & C Financial Services, Inc.", "name_as_filed": "C & C FINANCIAL SERVICES, INC.", "url": "https://advisorcensus.com/firm/c-and-c-financial-services-inc-great-neck-ny-106752", "city": "Great Neck", "state": "NY", "years_registered": 32, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 142766, "name": "Canaras Capital Management, LLC", "name_as_filed": "CANARAS CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/canaras-capital-management-llc-new-york-ny-142766", "city": "New York", "state": "NY", "years_registered": 19, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 142633, "name": "Cannell & Spears LLC", "name_as_filed": "CANNELL & SPEARS LLC", "url": "https://advisorcensus.com/firm/cannell-and-spears-llc-new-york-ny-142633", "city": "New York", "state": "NY", "years_registered": 19, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 159296, "name": "Cantor Fitzgerald Investment Advisors", "name_as_filed": "CANTOR FITZGERALD INVESTMENT ADVISORS", "url": 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