{ "path": "/advisors/ny/new-york/for-retirement-plans", "url": "https://advisorcensus.com/advisors/ny/new-york/for-retirement-plans/page/5", "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": 5, "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": 174812, "name": "Global Special Situations Research Co. Inc.", "name_as_filed": "GLOBAL SPECIAL SITUATIONS RESEARCH CO. INC.", "url": "https://advisorcensus.com/firm/global-special-situations-research-co-inc-new-york-ny-174812", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 153677, "name": "Global Wealth Management, LLC", "name_as_filed": "GLOBAL WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/global-wealth-management-llc-kingston-nj-153677", "city": "Kingston", "state": "NJ", "years_registered": 16, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 283394, "name": "Goehring & Rozencwajg Associates, LLC", "name_as_filed": "GOEHRING & ROZENCWAJG ASSOCIATES, LLC", "url": "https://advisorcensus.com/firm/goehring-and-rozencwajg-associates-llc-new-york-ny-283394", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 156338, "name": "Gold Coast Wealth Management, LLC", "name_as_filed": "GOLD COAST WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/gold-coast-wealth-management-llc-jericho-ny-156338", "city": "Jericho", "state": "NY", "years_registered": 15, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 112753, "name": "Goldentree Asset Management LP", "name_as_filed": "GOLDENTREE ASSET MANAGEMENT LP", "url": "https://advisorcensus.com/firm/goldentree-asset-management-lp-new-york-ny-112753", "city": "New York", "state": "NY", "years_registered": 25, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 361, "name": "Goldman Sachs & Co. LLC", "name_as_filed": "GOLDMAN SACHS & CO. LLC", "url": "https://advisorcensus.com/firm/goldman-sachs-and-co-llc-new-york-ny-361", "city": "New York", "state": "NY", "years_registered": 45, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "commissions", "performance_based", "other" ], "enhanced": false }, { "crd_number": 107738, "name": "Goldman Sachs Asset Management, L.P.", "name_as_filed": "GOLDMAN SACHS ASSET MANAGEMENT, L.P.", "url": "https://advisorcensus.com/firm/goldman-sachs-asset-management-l-p-new-york-ny-107738", "city": "New York", "state": "NY", "years_registered": 35, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 156032, "name": "Goodhaven Capital Management", "name_as_filed": "GOODHAVEN CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/goodhaven-capital-management-millburn-nj-156032", "city": "Millburn", "state": "NJ", "years_registered": 15, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 110761, "name": "Grace & White, Inc", "name_as_filed": "GRACE & WHITE, INC", "url": "https://advisorcensus.com/firm/grace-and-white-inc-new-york-ny-110761", "city": "New York", "state": "NY", "years_registered": 49, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 328115, "name": "Granite Rose Wealth Alliance LLC", "name_as_filed": "GRANITE ROSE WEALTH ALLIANCE LLC", "url": "https://advisorcensus.com/firm/granite-rose-wealth-alliance-llc-fairfield-nj-328115", "city": "Fairfield", "state": "NJ", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 137083, "name": "Gravity Capital Management LLC", "name_as_filed": "GRAVITY CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/gravity-capital-management-llc-new-york-ny-137083", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 304236, "name": "Green Ridge Wealth Planning LLC", "name_as_filed": "GREEN RIDGE WEALTH PLANNING LLC", "url": "https://advisorcensus.com/firm/green-ridge-wealth-planning-llc-montville-nj-304236", "city": "Montville", "state": "NJ", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 104729, "name": "Greenhaven Associates Inc", "name_as_filed": "GREENHAVEN ASSOCIATES INC", "url": "https://advisorcensus.com/firm/greenhaven-associates-inc-purchase-ny-104729", "city": "Purchase", "state": "NY", "years_registered": 38, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 104548, "name": "Griffin Asset Management, LLC", "name_as_filed": "GRIFFIN ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/griffin-asset-management-llc-new-york-ny-104548", "city": "New York", "state": "NY", "years_registered": 55, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 137432, "name": "Guggenheim Partners Investment Management, LLC", "name_as_filed": "GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/guggenheim-partners-investment-management-llc-new-york-ny-137432", "city": "New York", "state": "NY", "years_registered": 20, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 338969, "name": "Guzhuna Asset Management", "name_as_filed": "GUZHUNA ASSET MANAGEMENT", "url": "https://advisorcensus.com/firm/guzhuna-asset-management-new-york-ny-338969", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 119278, "name": "Hamlin Capital Management, LLC", "name_as_filed": "HAMLIN CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/hamlin-capital-management-llc-new-york-ny-119278", "city": "New York", "state": "NY", "years_registered": 24, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 104543, "name": "Harding Loevner LP", "name_as_filed": "HARDING LOEVNER LP", "url": "https://advisorcensus.com/firm/harding-loevner-lp-bridgewater-nj-104543", "city": "Bridgewater", "state": "NJ", "years_registered": 36, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 150897, "name": "Hartshorne Group, LLC", "name_as_filed": "HARTSHORNE GROUP, LLC", "url": "https://advisorcensus.com/firm/hartshorne-group-llc-red-bank-nj-150897", "city": "Red Bank", "state": "NJ", "years_registered": 17, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 160681, "name": "Harvey Partners, LLC", "name_as_filed": "HARVEY PARTNERS, LLC", "url": "https://advisorcensus.com/firm/harvey-partners-llc-tarrytown-ny-160681", "city": "Tarrytown", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 174811, "name": "Hazelview Securities (US) LLC", "name_as_filed": "HAZELVIEW SECURITIES (US) LLC", "url": "https://advisorcensus.com/firm/hazelview-securities-us-llc-new-york-ny-174811", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 124261, "name": "Heller Wealth Management", "name_as_filed": "HELLER WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/heller-wealth-management-melville-ny-124261", "city": "Melville", "state": "NY", "years_registered": 23, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 144884, "name": "Henley & Company Wealth Management LLC", "name_as_filed": "HENLEY & COMPANY WEALTH MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/henley-and-company-wealth-management-llc-uniondale-ny-144884", "city": "Uniondale", "state": "NY", "years_registered": 14, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 126236, "name": "Hennion & Walsh Asset Management, Inc.", "name_as_filed": "HENNION & WALSH ASSET MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/hennion-and-walsh-asset-management-inc-parsippany-nj-126236", "city": "Parsippany", "state": "NJ", "years_registered": 23, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "commissions" ], "enhanced": false }, { "crd_number": 105090, "name": "Herold Advisors, Inc.", "name_as_filed": "HEROLD ADVISORS, INC.", "url": "https://advisorcensus.com/firm/herold-advisors-inc-new-york-ny-105090", "city": "New York", "state": "NY", "years_registered": 50, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 105926, "name": "Heron View Partners LLC", "name_as_filed": "HERON VIEW PARTNERS LLC", "url": "https://advisorcensus.com/firm/heron-view-partners-llc-new-york-ny-105926", "city": "New York", "state": "NY", "years_registered": 43, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 125903, "name": "Heydorn Stone Capital Management LLC", "name_as_filed": "HEYDORN STONE CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/heydorn-stone-capital-management-llc-larchmont-ny-125903", "city": "Larchmont", "state": "NY", "years_registered": 21, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 125838, "name": "Highland Financial Advisors, LLC", "name_as_filed": "HIGHLAND FINANCIAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/highland-financial-advisors-llc-wayne-nj-125838", "city": "Wayne", "state": "NJ", "years_registered": 21, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 116357, "name": "Hilton Capital Management, LLC", "name_as_filed": "HILTON CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/hilton-capital-management-llc-garden-city-ny-116357", "city": "Garden City", "state": "NY", "years_registered": 24, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 109537, "name": "Honeywell Capital Management LLC", "name_as_filed": "HONEYWELL CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/honeywell-capital-management-llc-morris-plains-nj-109537", "city": "Morris Plains", "state": "NJ", "years_registered": 24, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 106096, "name": "Horizon Kinetics Asset Management LLC", "name_as_filed": "HORIZON KINETICS ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/horizon-kinetics-asset-management-llc-new-york-ny-106096", "city": "New York", "state": "NY", "years_registered": 32, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "subscription", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 282125, "name": "HPS Investment Partners, LLC", "name_as_filed": "HPS INVESTMENT PARTNERS, LLC", "url": "https://advisorcensus.com/firm/hps-investment-partners-llc-new-york-ny-282125", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 105686, "name": "HSBC Global Asset Management (USA) Inc.", "name_as_filed": "HSBC GLOBAL ASSET MANAGEMENT (USA) INC.", "url": "https://advisorcensus.com/firm/hsbc-global-asset-management-usa-inc-new-york-ny-105686", "city": "New York", "state": "NY", "years_registered": 40, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 19585, "name": "HSBC Securities (USA) Inc.", "name_as_filed": "HSBC SECURITIES (USA) INC.", "url": "https://advisorcensus.com/firm/hsbc-securities-usa-inc-new-york-ny-19585", "city": "New York", "state": "NY", "years_registered": 21, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 286437, "name": "Hudson Canyon Capital Management", "name_as_filed": "HUDSON CANYON CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/hudson-canyon-capital-management-new-york-ny-286437", "city": "New York", "state": "NY", "years_registered": 9, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 307412, "name": "Hudson Capital Management Inc.", "name_as_filed": "HUDSON CAPITAL MANAGEMENT INC.", "url": "https://advisorcensus.com/firm/hudson-capital-management-inc-irvington-ny-307412", "city": "Irvington", "state": "NY", "years_registered": 6, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 104870, "name": "Hudson Edge Investment Partners, Inc.", "name_as_filed": "HUDSON EDGE INVESTMENT PARTNERS, INC.", "url": "https://advisorcensus.com/firm/hudson-edge-investment-partners-inc-jersey-city-nj-104870", "city": "Jersey City", "state": "NJ", "years_registered": 43, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 44357, "name": "Hudson Heritage Capital Management, Inc.", "name_as_filed": "HUDSON HERITAGE CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/hudson-heritage-capital-management-inc-croton-on-hudson-ny-44357", "city": "Croton-On-Hudson", "state": "NY", "years_registered": 18, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 288839, "name": "Hudson View Advisors, LLC", "name_as_filed": "HUDSON VIEW ADVISORS, LLC", "url": "https://advisorcensus.com/firm/hudson-view-advisors-llc-croton-on-hudson-ny-288839", "city": "Croton-On-Hudson", "state": "NY", "years_registered": 9, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" 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