{ "path": "/advisors/ny/new-york/new-york-city", "url": "https://advisorcensus.com/advisors/ny/new-york/new-york-city", "page_type": "metro_city", "title": "Financial advisors in New York City, NY", "filters": {}, "scope_total": 20, "faq": [ { "q": "How many financial advisory firms are there in New York City, NY?", "a": "AdvisorCensus lists 20 investment advisory firms with a principal office in New York City, New York (part of the New York metro area), from Form ADV filings as of October 2026: 11 SEC-registered, 3 state-registered, and 6 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 City, NY?", "a": "2 of the 20 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 City, NY offer financial planning?", "a": "2 of the 14 firms in New York City, 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 City, 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 2 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": "AdvisorCensus lists 20 investment advisory firms with a principal office in New York City, New York (part of the New York metro area), drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; the full New York metro area, including neighboring cities, is on its own page. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.", "about_market": null, "citation": "AdvisorCensus. Financial advisors in New York City, NY: 20 firms from Form ADV filings as of October 2026.", "total_firms": 20, "page": 1, "total_pages": 1, "sort": "name", "registration_types": { "sec": 11, "state": 3, "exempt": 6 }, "fee_model_mix": [ { "code": "fee-only", "count": 2 }, { "code": "percentage_of_aum", "count": 12 }, { "code": "hourly", "count": 2 }, { "code": "subscription", "count": 0 }, { "code": "fixed", "count": 4 }, { "code": "commissions", "count": 0 }, { "code": "performance_based", "count": 7 }, { "code": "other", "count": 2 }, { "code": "not_reported", "count": 6 } ], "years_registered_distribution": [ { "code": "under_5", "count": 9 }, { "code": "5_to_9", "count": 6 }, { "code": "10_to_19", "count": 1 }, { "code": "20_plus", "count": 4 }, { "code": "not_reported", "count": 0 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 2 }, { "code": "25m_100m", "count": 0 }, { "code": "100m_500m", "count": 2 }, { "code": "500m_1b", "count": 2 }, { "code": "1b_5b", "count": 3 }, { "code": "over_5b", "count": 3 }, { "code": "not_reported", "count": 8 } ], "firms": [ { "crd_number": 297391, "name": "Aigen Investment Management, LP", "name_as_filed": "AIGEN INVESTMENT MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/aigen-investment-management-lp-new-york-city-ny-297391", "city": "New York City", "state": "NY", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "performance_based" ], "enhanced": false }, { "crd_number": 341635, "name": "All Aboard Investment Management Company", "name_as_filed": "ALL ABOARD INVESTMENT MANAGEMENT COMPANY", "url": "https://advisorcensus.com/firm/all-aboard-investment-management-company-new-york-city-ny-341635", "city": "New York City", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 343340, "name": "Almanack Capital LP", "name_as_filed": "ALMANACK CAPITAL LP", "url": "https://advisorcensus.com/firm/almanack-capital-lp-new-york-city-ny-343340", "city": "New York City", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 342618, "name": "Altura Capital Partners LLC", "name_as_filed": "ALTURA CAPITAL PARTNERS LLC", "url": "https://advisorcensus.com/firm/altura-capital-partners-llc-new-york-city-ny-342618", "city": "New York City", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 113246, "name": "Avenue Asia Capital Management, L.P.", "name_as_filed": "AVENUE ASIA CAPITAL MANAGEMENT, L.P.", "url": "https://advisorcensus.com/firm/avenue-asia-capital-management-l-p-new-york-city-ny-113246", "city": "New York City", "state": "NY", "years_registered": 25, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 148180, "name": "Empery Asset Management, LP", "name_as_filed": "EMPERY ASSET MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/empery-asset-management-lp-new-york-city-ny-148180", "city": "New York City", "state": "NY", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 298710, "name": "Indigo Capital LLC", "name_as_filed": "INDIGO CAPITAL LLC", "url": "https://advisorcensus.com/firm/indigo-capital-llc-new-york-city-ny-298710", "city": "New York City", "state": "NY", "years_registered": 7, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 139134, "name": "Investment Strategies Fund Management LLC", "name_as_filed": "INVESTMENT STRATEGIES FUND MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/investment-strategies-fund-management-llc-new-york-city-ny-139134", "city": "New York City", "state": "NY", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "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": 326509, "name": "J. Stern & Co., LLC", "name_as_filed": "J. STERN & CO., LLC", "url": "https://advisorcensus.com/firm/j-stern-and-co-llc-new-york-city-ny-326509", "city": "New York City", "state": "NY", "years_registered": 2, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 340482, "name": "MML Capital Partners NY, LLC", "name_as_filed": "MML CAPITAL PARTNERS NY, LLC", "url": "https://advisorcensus.com/firm/mml-capital-partners-ny-llc-new-york-city-ny-340482", "city": "New York City", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 170047, "name": "New York Financial AVP, LLC", "name_as_filed": "NEW YORK FINANCIAL AVP, LLC", "url": "https://advisorcensus.com/firm/new-york-financial-avp-llc-new-york-city-ny-170047", "city": "New York City", "state": "NY", "years_registered": 12, "raum_band": "not_reported", "compensation_types": [ "hourly" ], "enhanced": false }, { "crd_number": 290920, "name": "Qsemble Capital Management, LP", "name_as_filed": "QSEMBLE CAPITAL MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/qsemble-capital-management-lp-new-york-city-ny-290920", "city": "New York City", "state": "NY", "years_registered": 8, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 306046, "name": "Rokos Capital Management (US) LP", "name_as_filed": "ROKOS CAPITAL MANAGEMENT (US) LP", "url": "https://advisorcensus.com/firm/rokos-capital-management-us-lp-new-york-city-ny-306046", "city": "New York City", "state": "NY", "years_registered": 6, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 322374, "name": "Sagard Holdings Manager (US) LLC", "name_as_filed": "SAGARD HOLDINGS MANAGER (US) LLC", "url": "https://advisorcensus.com/firm/sagard-holdings-manager-us-llc-new-york-city-ny-322374", "city": "New York City", "state": "NY", 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