{ "path": "/advisors/ny/new-york", "url": "https://advisorcensus.com/advisors/ny/new-york/page/45", "page_type": "metro", "title": "Financial advisors in New York, NY", "filters": {}, "scope_total": 3971, "faq": [ { "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. AdvisorCensus lists 3,971 investment advisory firms with a principal office in the New York metro area as of October 2026. Firms are listed alphabetically. Sort by years registered or by assets under management. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV.", "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 in New York, NY: 3,971 firms from Form ADV filings as of October 2026.", "total_firms": 3971, "page": 45, "total_pages": 80, "sort": "name", "registration_types": { "sec": 2691, "state": 551, "exempt": 729 }, "fee_model_mix": [ { "code": "fee-only", "count": 518 }, { "code": "percentage_of_aum", "count": 2931 }, { "code": "hourly", "count": 536 }, { "code": "subscription", "count": 39 }, { "code": "fixed", "count": 999 }, { "code": "commissions", "count": 52 }, { "code": "performance_based", "count": 1761 }, { "code": "other", "count": 607 }, { "code": "not_reported", "count": 729 } ], "years_registered_distribution": [ { "code": "under_5", "count": 1495 }, { "code": "5_to_9", "count": 893 }, { "code": "10_to_19", "count": 1047 }, { "code": "20_plus", "count": 527 }, { "code": "not_reported", "count": 9 } ], "raum_band_distribution": [ { "code": "under_25m", "count": 350 }, { "code": "25m_100m", "count": 337 }, { "code": "100m_500m", "count": 761 }, { "code": "500m_1b", "count": 362 }, { "code": "1b_5b", "count": 631 }, { "code": "over_5b", "count": 565 }, { "code": "not_reported", "count": 965 } ], "firms": [ { "crd_number": 140357, "name": "M.A. Whelan Financial Planning", "name_as_filed": "M.A. WHELAN FINANCIAL PLANNING", "url": "https://advisorcensus.com/firm/m-a-whelan-financial-planning-buchanan-ny-140357", "city": "Buchanan", "state": "NY", "years_registered": 5, "raum_band": "25m_100m", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 110590, "name": "M.D. Sass, LLC", "name_as_filed": "M.D. SASS, LLC", "url": "https://advisorcensus.com/firm/m-d-sass-llc-new-york-ny-110590", "city": "New York", "state": "NY", "years_registered": 54, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 124506, "name": "M.D. Sass-Macquarie Financial Strategies Management Company, LLC", "name_as_filed": "M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC", "url": "https://advisorcensus.com/firm/m-d-sass-macquarie-financial-strategies-management-company-llc-new-york-ny-124506", "city": "New York", "state": "NY", "years_registered": 22, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 306382, "name": "M.K. Byrne & Co. LLC", "name_as_filed": "M.K. BYRNE & CO. LLC", "url": "https://advisorcensus.com/firm/m-k-byrne-and-co-llc-parsippany-nj-306382", "city": "Parsippany", "state": "NJ", "years_registered": 6, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 283673, "name": "MA Asset Management, LLC", "name_as_filed": "MA ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/ma-asset-management-llc-irvington-ny-283673", "city": "Irvington", "state": "NY", "years_registered": 10, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 134605, "name": "Mace Capital Management, LLC", "name_as_filed": "MACE CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/mace-capital-management-llc-new-york-ny-134605", "city": "New York", "state": "NY", "years_registered": 18, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 315219, "name": "Machine Investment Group, LP", "name_as_filed": "MACHINE INVESTMENT GROUP, LP", "url": "https://advisorcensus.com/firm/machine-investment-group-lp-new-york-ny-315219", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 158302, "name": "Maci Family Office Advisors", "name_as_filed": "MACI FAMILY OFFICE ADVISORS", "url": "https://advisorcensus.com/firm/maci-family-office-advisors-new-york-ny-158302", "city": "New York", "state": "NY", "years_registered": 15, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 167609, "name": "Mack Real Estate Credit Strategies, L.P.", "name_as_filed": "MACK REAL ESTATE CREDIT STRATEGIES, L.P.", "url": "https://advisorcensus.com/firm/mack-real-estate-credit-strategies-l-p-new-york-ny-167609", "city": "New York", "state": "NY", "years_registered": 13, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 107717, "name": "Mackay Shields LLC", "name_as_filed": "MACKAY SHIELDS LLC", "url": "https://advisorcensus.com/firm/mackay-shields-llc-new-york-ny-107717", "city": "New York", "state": "NY", "years_registered": 57, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 284788, "name": "Macquarie Asset Management Credit Advisers US, LLC", "name_as_filed": "MACQUARIE ASSET MANAGEMENT CREDIT ADVISERS US, LLC", "url": "https://advisorcensus.com/firm/macquarie-asset-management-credit-advisers-us-llc-new-york-ny-284788", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 293250, "name": "Macquarie Capital Partners LLC", "name_as_filed": "MACQUARIE CAPITAL PARTNERS LLC", "url": "https://advisorcensus.com/firm/macquarie-capital-partners-llc-new-york-ny-293250", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 146696, "name": "Macquarie Infrastructure Partners", "name_as_filed": "MACQUARIE INFRASTRUCTURE PARTNERS", "url": "https://advisorcensus.com/firm/macquarie-infrastructure-partners-new-york-ny-146696", "city": "New York", "state": "NY", "years_registered": 18, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 141805, "name": "Macquarie Wealth Advisers, LLC", "name_as_filed": "MACQUARIE WEALTH ADVISERS, LLC", "url": "https://advisorcensus.com/firm/macquarie-wealth-advisers-llc-new-york-ny-141805", "city": "New York", "state": "NY", "years_registered": 19, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 132386, "name": "Madison Advisory Services, Inc.", "name_as_filed": "MADISON ADVISORY SERVICES, INC.", "url": "https://advisorcensus.com/firm/madison-advisory-services-inc-white-plains-ny-132386", "city": "White Plains", "state": "NY", "years_registered": 11, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 298610, "name": "Madison Avenue Partners LP", "name_as_filed": "MADISON AVENUE PARTNERS LP", "url": "https://advisorcensus.com/firm/madison-avenue-partners-lp-new-york-ny-298610", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 310579, "name": "Madison Bay Capital Management, LLC", "name_as_filed": "MADISON BAY CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/madison-bay-capital-management-llc-new-york-ny-310579", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 288894, "name": "Madison Global Advisors LLC", "name_as_filed": "MADISON GLOBAL ADVISORS LLC", "url": "https://advisorcensus.com/firm/madison-global-advisors-llc-hauppauge-ny-288894", "city": "Hauppauge", "state": "NY", "years_registered": 4, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "other" ], "enhanced": false }, { "crd_number": 158165, "name": "Madison International Realty Holdings, LLC", "name_as_filed": "MADISON INTERNATIONAL REALTY HOLDINGS, LLC", "url": "https://advisorcensus.com/firm/madison-international-realty-holdings-llc-new-york-ny-158165", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 158988, "name": "Madison Realty Capital", "name_as_filed": "MADISON REALTY CAPITAL", "url": "https://advisorcensus.com/firm/madison-realty-capital-new-york-ny-158988", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 286411, "name": "Madison River Capital LLC", "name_as_filed": "MADISON RIVER CAPITAL LLC", "url": "https://advisorcensus.com/firm/madison-river-capital-llc-new-york-ny-286411", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 286065, "name": "Madryn Asset Management, LP", "name_as_filed": "MADRYN ASSET MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/madryn-asset-management-lp-new-york-ny-286065", "city": "New York", "state": "NY", "years_registered": 9, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 306005, "name": "Magnifina, LLC", "name_as_filed": "MAGNIFINA, LLC", "url": "https://advisorcensus.com/firm/magnifina-llc-bedford-hills-ny-306005", "city": "Bedford Hills", "state": "NY", "years_registered": 6, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 137486, "name": "Magnitude Capital, LLC", "name_as_filed": "MAGNITUDE CAPITAL, LLC", "url": "https://advisorcensus.com/firm/magnitude-capital-llc-new-york-ny-137486", "city": "New York", "state": "NY", "years_registered": 20, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 119597, "name": "Magnolia Capital Management", "name_as_filed": "MAGNOLIA CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/magnolia-capital-management-cold-spring-ny-119597", "city": "Cold Spring", "state": "NY", "years_registered": 20, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 289423, "name": "Magnus Financial Group LLC", "name_as_filed": "MAGNUS FINANCIAL GROUP LLC", "url": "https://advisorcensus.com/firm/magnus-financial-group-llc-new-york-ny-289423", "city": "New York", "state": "NY", "years_registered": 9, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 281694, "name": "Main Street Asset Management LLC", "name_as_filed": "MAIN STREET ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/main-street-asset-management-llc-new-city-ny-281694", "city": "New City", "state": "NY", "years_registered": null, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 118130, "name": "Main Street Financial", "name_as_filed": "MAIN STREET FINANCIAL", "url": "https://advisorcensus.com/firm/main-street-financial-purchase-ny-118130", "city": "Purchase", "state": "NY", "years_registered": 14, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 111736, "name": "Main Street Management Company", "name_as_filed": "MAIN STREET MANAGEMENT COMPANY", "url": "https://advisorcensus.com/firm/main-street-management-company-aquebogue-ny-111736", "city": "Aquebogue", "state": "NY", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 158132, "name": "MAK Capital", "name_as_filed": "MAK CAPITAL", "url": "https://advisorcensus.com/firm/mak-capital-new-york-ny-158132", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 329275, "name": "Makarora", "name_as_filed": "MAKARORA", "url": "https://advisorcensus.com/firm/makarora-new-york-ny-329275", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 110325, "name": "Makrod Investment Associates Inc", "name_as_filed": "MAKROD INVESTMENT ASSOCIATES INC", "url": "https://advisorcensus.com/firm/makrod-investment-associates-inc-verona-nj-110325", "city": "Verona", "state": "NJ", "years_registered": 39, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 168091, "name": "Malabar Investments, LLC", "name_as_filed": "MALABAR INVESTMENTS, LLC", "url": "https://advisorcensus.com/firm/malabar-investments-llc-new-york-ny-168091", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 299975, "name": "Malatai Capital LLC", "name_as_filed": "MALATAI CAPITAL LLC", "url": "https://advisorcensus.com/firm/malatai-capital-llc-new-york-ny-299975", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": "25m_100m", "compensation_types": [ "performance_based" ], "enhanced": false }, { "crd_number": 138175, "name": "Maltese Capital Management, LLC", "name_as_filed": "MALTESE CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/maltese-capital-management-llc-new-york-ny-138175", "city": "New York", "state": "NY", "years_registered": 15, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 297714, "name": "Malvern Ridge Wealth Management", "name_as_filed": "MALVERN RIDGE WEALTH MANAGEMENT", "url": "https://advisorcensus.com/firm/malvern-ridge-wealth-management-englewood-cliffs-nj-297714", "city": "Englewood Cliffs", "state": "NJ", "years_registered": 8, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 282639, "name": "MAM Americas, Inc.", "name_as_filed": "MAM AMERICAS, INC.", "url": "https://advisorcensus.com/firm/mam-americas-inc-new-york-ny-282639", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 146110, "name": "MAN Capital Management LLC", "name_as_filed": "MAN CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/man-capital-management-llc-new-york-ny-146110", "city": "New York", "state": "NY", "years_registered": 17, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 284066, "name": "MAN Global Private Markets (USA) Inc.", "name_as_filed": "MAN GLOBAL PRIVATE MARKETS (USA) INC.", "url": "https://advisorcensus.com/firm/man-global-private-markets-usa-inc-new-york-ny-284066", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 282371, "name": "MAN Investment Partners (US) LP", "name_as_filed": "MAN INVESTMENT PARTNERS (US) LP", "url": "https://advisorcensus.com/firm/man-investment-partners-us-lp-new-york-ny-282371", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 157592, "name": "MAN Solutions LLC", "name_as_filed": "MAN SOLUTIONS LLC", "url": "https://advisorcensus.com/firm/man-solutions-llc-new-york-ny-157592", "city": "New York", "state": "NY", "years_registered": 15, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 284792, "name": "Mana Advisors LLC", "name_as_filed": "MANA ADVISORS LLC", "url": "https://advisorcensus.com/firm/mana-advisors-llc-new-york-ny-284792", "city": "New York", "state": "NY", "years_registered": 9, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 142558, "name": "Managed Account Advisors LLC", "name_as_filed": "MANAGED ACCOUNT ADVISORS LLC", "url": "https://advisorcensus.com/firm/managed-account-advisors-llc-jersey-city-nj-142558", "city": "Jersey City", "state": "NJ", "years_registered": 19, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 311845, "name": "Manalapan Oracle Capital Management LLC", "name_as_filed": "MANALAPAN ORACLE CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/manalapan-oracle-capital-management-llc-red-bank-nj-311845", "city": "Red Bank", "state": "NJ", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 311912, "name": "Mane Global Capital Management LP", "name_as_filed": "MANE GLOBAL CAPITAL MANAGEMENT LP", "url": "https://advisorcensus.com/firm/mane-global-capital-management-lp-new-york-ny-311912", "city": "New York", "state": "NY", "years_registered": 5, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 338376, "name": "Manhattan Wealth Management Group", "name_as_filed": "MANHATTAN WEALTH MANAGEMENT GROUP", "url": "https://advisorcensus.com/firm/manhattan-wealth-management-group-new-york-ny-338376", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 157272, "name": "Manikay Partners", "name_as_filed": "MANIKAY PARTNERS", "url": 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