{ "path": "/advisors/ny/new-york", "url": "https://advisorcensus.com/advisors/ny/new-york/page/51", "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": 51, "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": 163343, "name": "New York City Investment Fund Manager, Inc.", "name_as_filed": "NEW YORK CITY INVESTMENT FUND MANAGER, INC.", "url": "https://advisorcensus.com/firm/new-york-city-investment-fund-manager-inc-new-york-ny-163343", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "not_reported", "compensation_types": [], "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": 109591, "name": "New York Life Investment Management LLC", "name_as_filed": "NEW YORK LIFE INVESTMENT MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/new-york-life-investment-management-llc-new-york-ny-109591", "city": "New York", "state": "NY", "years_registered": 26, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 283302, "name": "Newark Venture Partners", "name_as_filed": "NEWARK VENTURE PARTNERS", "url": "https://advisorcensus.com/firm/newark-venture-partners-newark-nj-283302", "city": "Newark", "state": "NJ", "years_registered": 10, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 138930, "name": "Newbrook Capital Advisors LP", "name_as_filed": "NEWBROOK CAPITAL ADVISORS LP", "url": "https://advisorcensus.com/firm/newbrook-capital-advisors-lp-new-york-ny-138930", "city": "New York", "state": "NY", "years_registered": 20, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 296190, "name": "Newlight Partners LP", "name_as_filed": "NEWLIGHT PARTNERS LP", "url": "https://advisorcensus.com/firm/newlight-partners-lp-new-york-ny-296190", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 172956, "name": "Newoak Asset Management LLC", "name_as_filed": "NEWOAK ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/newoak-asset-management-llc-new-york-ny-172956", "city": "New York", "state": "NY", "years_registered": 12, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 321208, "name": "Newpoint Real Estate Investment Management LLC", "name_as_filed": "NEWPOINT REAL ESTATE INVESTMENT MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/newpoint-real-estate-investment-management-llc-new-york-ny-321208", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 144442, "name": "Newport Capital Group, LLC", "name_as_filed": "NEWPORT CAPITAL GROUP, LLC", "url": "https://advisorcensus.com/firm/newport-capital-group-llc-red-bank-nj-144442", "city": "Red Bank", "state": "NJ", "years_registered": 19, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 166375, "name": "Newport Wealth Management, LLC", "name_as_filed": "NEWPORT WEALTH MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/newport-wealth-management-llc-red-bank-nj-166375", "city": "Red Bank", "state": "NJ", "years_registered": 13, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 333245, "name": "Newstead Capital Management", "name_as_filed": "NEWSTEAD CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/newstead-capital-management-vauxhall-nj-333245", "city": "Vauxhall", "state": "NJ", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 161156, "name": "Newtyn Management, LLC", "name_as_filed": "NEWTYN MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/newtyn-management-llc-new-york-ny-161156", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 281893, "name": "Nexphase Capital, LP", "name_as_filed": "NEXPHASE CAPITAL, LP", "url": "https://advisorcensus.com/firm/nexphase-capital-lp-new-york-ny-281893", "city": "New York", "state": "NY", "years_registered": 10, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 339753, "name": "Nexquant Exchange Ltd", "name_as_filed": "NEXQUANT EXCHANGE LTD", "url": "https://advisorcensus.com/firm/nexquant-exchange-ltd-new-york-ny-339753", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 110793, "name": "Next Capital Management LLC", "name_as_filed": "NEXT CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/next-capital-management-llc-new-york-ny-110793", "city": "New York", "state": "NY", "years_registered": 27, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 326144, "name": "Next GEN Advisors, LLC", "name_as_filed": "NEXT GEN ADVISORS, LLC", "url": "https://advisorcensus.com/firm/next-gen-advisors-llc-new-york-ny-326144", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed", "other" ], "enhanced": false }, { "crd_number": 141615, "name": "Next Generation Wealth Planning, LLC", "name_as_filed": "NEXT GENERATION WEALTH PLANNING, LLC", "url": "https://advisorcensus.com/firm/next-generation-wealth-planning-llc-forked-river-nj-141615", "city": "Forked River", "state": "NJ", "years_registered": 19, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 313247, "name": "Next Level Private LLC", "name_as_filed": "NEXT LEVEL PRIVATE LLC", "url": "https://advisorcensus.com/firm/next-level-private-llc-harrison-ny-313247", "city": "Harrison", "state": "NY", "years_registered": 5, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 324644, "name": "Next Management Advisors, LLC", "name_as_filed": "NEXT MANAGEMENT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/next-management-advisors-llc-new-york-ny-324644", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 308974, "name": "Next Pronto Capital Advisors", "name_as_filed": "NEXT PRONTO CAPITAL ADVISORS", "url": "https://advisorcensus.com/firm/next-pronto-capital-advisors-new-york-ny-308974", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 340473, "name": "Nexus Genesis Capital Ltd.", "name_as_filed": "NEXUS GENESIS CAPITAL LTD.", "url": "https://advisorcensus.com/firm/nexus-genesis-capital-ltd-new-york-ny-340473", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 139992, "name": "NGC Financial, LLC", "name_as_filed": "NGC FINANCIAL, LLC", "url": "https://advisorcensus.com/firm/ngc-financial-llc-bayside-ny-139992", "city": "Bayside", "state": "NY", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 333933, "name": "Night Squared LP", "name_as_filed": "NIGHT SQUARED LP", "url": "https://advisorcensus.com/firm/night-squared-lp-new-york-ny-333933", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 133384, "name": "Nigido Mullin Investment Strategies, LLC", "name_as_filed": "NIGIDO MULLIN INVESTMENT STRATEGIES, LLC", "url": "https://advisorcensus.com/firm/nigido-mullin-investment-strategies-llc-skillman-nj-133384", "city": "Skillman", "state": "NJ", "years_registered": 21, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 311890, "name": "Nihon Global Growth Partners Management, Inc.", "name_as_filed": "NIHON GLOBAL GROWTH PARTNERS MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/nihon-global-growth-partners-management-inc-new-york-ny-311890", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 332838, "name": "Nine Left Capital LP", "name_as_filed": "NINE LEFT CAPITAL LP", "url": "https://advisorcensus.com/firm/nine-left-capital-lp-new-york-ny-332838", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 322775, "name": "Nine Masts Capital Advisers LLC", "name_as_filed": "NINE MASTS CAPITAL ADVISERS LLC", "url": "https://advisorcensus.com/firm/nine-masts-capital-advisers-llc-new-york-ny-322775", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 130545, "name": "Nine Thirty Capital Management, LLC", "name_as_filed": "NINE THIRTY CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/nine-thirty-capital-management-llc-new-york-ny-130545", "city": "New York", "state": "NY", "years_registered": 22, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 167922, "name": "Ninety One North America, Inc.", "name_as_filed": "NINETY ONE NORTH AMERICA, INC.", "url": "https://advisorcensus.com/firm/ninety-one-north-america-inc-new-york-ny-167922", "city": "New York", "state": "NY", "years_registered": 12, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 306985, "name": "Ninth Eternity Asset Management LLC", "name_as_filed": "NINTH ETERNITY ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/ninth-eternity-asset-management-llc-new-york-ny-306985", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 332070, "name": "Niobrara Capital Partners", "name_as_filed": "NIOBRARA CAPITAL PARTNERS", "url": "https://advisorcensus.com/firm/niobrara-capital-partners-new-york-ny-332070", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 156244, "name": "Nippon Life Global Investors Americas, Inc.", "name_as_filed": "NIPPON LIFE GLOBAL INVESTORS AMERICAS, INC.", "url": "https://advisorcensus.com/firm/nippon-life-global-investors-americas-inc-new-york-ny-156244", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 311793, "name": "Nisiotis, Michael", "name_as_filed": "NISIOTIS, MICHAEL", "url": "https://advisorcensus.com/firm/nisiotis-michael-rutherford-nj-311793", "city": "Rutherford", "state": "NJ", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 121837, "name": "Nisman Investment Services Inc.", "name_as_filed": "NISMAN INVESTMENT SERVICES INC.", "url": "https://advisorcensus.com/firm/nisman-investment-services-inc-east-brunswick-nj-121837", "city": "East Brunswick", "state": "NJ", "years_registered": 33, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 328905, "name": "Nisonoff & Quadrel Investment Management LLC", "name_as_filed": "NISONOFF & QUADREL INVESTMENT MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/nisonoff-and-quadrel-investment-management-llc-east-brunswick-nj-328905", "city": "East Brunswick", "state": "NJ", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 173067, "name": "Nitor Capital Management", "name_as_filed": "NITOR CAPITAL MANAGEMENT", "url": "https://advisorcensus.com/firm/nitor-capital-management-englewood-cliffs-nj-173067", "city": "Englewood Cliffs", "state": "NJ", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 158140, "name": "NMS Capital Services, LLC", "name_as_filed": "NMS CAPITAL SERVICES, LLC", "url": "https://advisorcensus.com/firm/nms-capital-services-llc-new-york-ny-158140", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 342309, "name": "Noble Pillar Capital Ltd", "name_as_filed": "NOBLE PILLAR CAPITAL LTD", "url": "https://advisorcensus.com/firm/noble-pillar-capital-ltd-new-york-ny-342309", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 146612, "name": "Noblebridge Wealth", "name_as_filed": "NOBLEBRIDGE WEALTH", "url": "https://advisorcensus.com/firm/noblebridge-wealth-montclair-nj-146612", "city": "Montclair", "state": "NJ", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 159004, "name": "Nokota Management, LP", "name_as_filed": "NOKOTA MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/nokota-management-lp-new-york-ny-159004", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 334285, "name": "Nomi Capital LLC", "name_as_filed": "NOMI CAPITAL LLC", "url": "https://advisorcensus.com/firm/nomi-capital-llc-new-york-ny-334285", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 108222, "name": "Nomura Asset Management U.S.A. Inc.", "name_as_filed": "NOMURA ASSET MANAGEMENT U.S.A. INC.", "url": "https://advisorcensus.com/firm/nomura-asset-management-u-s-a-inc-new-york-ny-108222", "city": "New York", "state": "NY", "years_registered": 50, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 324417, "name": "Nomura Capital Management LLC", "name_as_filed": "NOMURA CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/nomura-capital-management-llc-new-york-ny-324417", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 110411, "name": "Nomura Corporate Research and Asset Management Inc", "name_as_filed": "NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC", "url": "https://advisorcensus.com/firm/nomura-corporate-research-and-asset-management-inc-new-york-ny-110411", "city": "New York", "state": "NY", "years_registered": 35, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 4297, "name": "Nomura Securities International, Inc.", "name_as_filed": "NOMURA SECURITIES INTERNATIONAL, INC.", "url": "https://advisorcensus.com/firm/nomura-securities-international-inc-new-york-ny-4297", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "not_reported", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 116837, "name": "Nordea Investment Management North America, Inc.", "name_as_filed": "NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.", "url": "https://advisorcensus.com/firm/nordea-investment-management-north-america-inc-new-york-ny-116837", "city": "New York", "state": "NY", "years_registered": 24, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 333609, "name": "Norlantic", "name_as_filed": "NORLANTIC", "url": 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