{ "path": "/advisors/ny/new-york", "url": "https://advisorcensus.com/advisors/ny/new-york/page/54", "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": 54, "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": 299826, "name": "Optima Asset Management LP", "name_as_filed": "OPTIMA ASSET MANAGEMENT LP", "url": "https://advisorcensus.com/firm/optima-asset-management-lp-new-york-ny-299826", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 337808, "name": "Optimist Ventures LLC", "name_as_filed": "OPTIMIST VENTURES LLC", "url": "https://advisorcensus.com/firm/optimist-ventures-llc-new-york-ny-337808", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 316847, "name": "Opto Investment Management, LLC", "name_as_filed": "OPTO INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/opto-investment-management-llc-new-york-ny-316847", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 343298, "name": "Optos Real Estate Credit, LLC", "name_as_filed": "OPTOS REAL ESTATE CREDIT, LLC", "url": "https://advisorcensus.com/firm/optos-real-estate-credit-llc-new-york-ny-343298", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 163262, "name": "Opus Investment Management LLC", "name_as_filed": "OPUS INVESTMENT MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/opus-investment-management-llc-new-york-ny-163262", "city": "New York", "state": "NY", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 338773, "name": "Oraclum Capital Management LLC", "name_as_filed": "ORACLUM CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/oraclum-capital-management-llc-new-york-ny-338773", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 301043, "name": "Orange River Management L.P.", "name_as_filed": "ORANGE RIVER MANAGEMENT L.P.", "url": "https://advisorcensus.com/firm/orange-river-management-l-p-new-york-ny-301043", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 282292, "name": "Orangewood Partners Management LLC", "name_as_filed": "ORANGEWOOD PARTNERS MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/orangewood-partners-management-llc-new-york-ny-282292", "city": "New York", "state": "NY", "years_registered": 8, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 118608, "name": "Orbimed Advisors LLC", "name_as_filed": "ORBIMED ADVISORS LLC", "url": "https://advisorcensus.com/firm/orbimed-advisors-llc-new-york-ny-118608", "city": "New York", "state": "NY", "years_registered": 24, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 283118, "name": "Oribel Capital Management, LP", "name_as_filed": "ORIBEL CAPITAL MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/oribel-capital-management-lp-new-york-ny-283118", "city": "New York", "state": "NY", "years_registered": 9, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 161327, "name": "Orion Resource Partners (USA), LP", "name_as_filed": "ORION RESOURCE PARTNERS (USA), LP", "url": "https://advisorcensus.com/firm/orion-resource-partners-usa-lp-new-york-ny-161327", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 286225, "name": "Orion-Archstone Asset Management Inc.", "name_as_filed": "ORION-ARCHSTONE ASSET MANAGEMENT INC.", "url": "https://advisorcensus.com/firm/orion-archstone-asset-management-inc-new-york-ny-286225", "city": "New York", "state": "NY", "years_registered": 9, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 307580, "name": "Orix Advisers, LLC", "name_as_filed": "ORIX ADVISERS, LLC", "url": "https://advisorcensus.com/firm/orix-advisers-llc-new-york-ny-307580", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 171242, "name": "Orkila Management, LLC", "name_as_filed": "ORKILA MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/orkila-management-llc-new-york-ny-171242", "city": "New York", "state": "NY", "years_registered": 12, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 283384, "name": "Orthogon Partners Investment Management, LLC", "name_as_filed": "ORTHOGON PARTNERS INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/orthogon-partners-investment-management-llc-new-york-ny-283384", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 339493, "name": "Orthogonal Asset Management, LLC", "name_as_filed": "ORTHOGONAL ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/orthogonal-asset-management-llc-brooklyn-ny-339493", "city": "Brooklyn", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 305479, "name": "Ospraie Management, LLC", "name_as_filed": "OSPRAIE MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/ospraie-management-llc-rye-ny-305479", "city": "Rye", "state": "NY", "years_registered": 5, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 331295, "name": "Osprey Private Wealth LLC", "name_as_filed": "OSPREY PRIVATE WEALTH LLC", "url": "https://advisorcensus.com/firm/osprey-private-wealth-llc-new-york-ny-331295", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 299086, "name": "OT Research", "name_as_filed": "OT RESEARCH", "url": "https://advisorcensus.com/firm/ot-research-new-york-ny-299086", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 327232, "name": "Otro Capital", "name_as_filed": "OTRO CAPITAL", "url": "https://advisorcensus.com/firm/otro-capital-new-york-ny-327232", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 301126, "name": "Outerbridge Capital Management, LLC", "name_as_filed": "OUTERBRIDGE CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/outerbridge-capital-management-llc-new-york-ny-301126", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 327602, "name": "Outerlands Capital Management, LLC", "name_as_filed": "OUTERLANDS CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/outerlands-capital-management-llc-new-york-ny-327602", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 117884, "name": "Overbrook Management Corporation", "name_as_filed": "OVERBROOK MANAGEMENT CORPORATION", "url": "https://advisorcensus.com/firm/overbrook-management-corporation-new-york-ny-117884", "city": "New York", "state": "NY", "years_registered": 24, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 325525, "name": "Overland Advisors, LLC", "name_as_filed": "OVERLAND ADVISORS, LLC", "url": "https://advisorcensus.com/firm/overland-advisors-llc-new-york-ny-325525", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 329000, "name": "Overlap Ventures Management, LLC", "name_as_filed": "OVERLAP VENTURES MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/overlap-ventures-management-llc-hicksville-ny-329000", "city": "Hicksville", "state": "NY", "years_registered": 2, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 341636, "name": "Overwatch Capital Advisors LLC", "name_as_filed": "OVERWATCH CAPITAL ADVISORS LLC", "url": "https://advisorcensus.com/firm/overwatch-capital-advisors-llc-new-york-ny-341636", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 139371, "name": "Owl Creek Asset Management, L.P.", "name_as_filed": "OWL CREEK ASSET MANAGEMENT, L.P.", "url": "https://advisorcensus.com/firm/owl-creek-asset-management-l-p-new-york-ny-139371", "city": "New York", "state": "NY", "years_registered": 20, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 328210, "name": "Owlhouse Capital LP", "name_as_filed": "OWLHOUSE CAPITAL LP", "url": "https://advisorcensus.com/firm/owlhouse-capital-lp-new-york-ny-328210", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 309684, "name": "Oxler Private Wealth", "name_as_filed": "OXLER PRIVATE WEALTH", "url": "https://advisorcensus.com/firm/oxler-private-wealth-rye-brook-ny-309684", "city": "Rye Brook", "state": "NY", "years_registered": 6, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 321956, "name": "Oxshott Capital Partners LLC", "name_as_filed": "OXSHOTT CAPITAL PARTNERS LLC", "url": "https://advisorcensus.com/firm/oxshott-capital-partners-llc-new-york-ny-321956", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 327276, "name": "OZE Capital LLC", "name_as_filed": "OZE CAPITAL LLC", "url": "https://advisorcensus.com/firm/oze-capital-llc-florham-park-nj-327276", "city": "Florham Park", "state": "NJ", "years_registered": 3, "raum_band": "100m_500m", "compensation_types": [ "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 111731, "name": "P&A Capital Advisors", "name_as_filed": "P&A CAPITAL ADVISORS", "url": "https://advisorcensus.com/firm/p-and-a-capital-advisors-new-york-ny-111731", "city": "New York", "state": "NY", "years_registered": 25, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 149236, "name": "P. Schoenfeld Asset Management LP", "name_as_filed": "P. SCHOENFELD ASSET MANAGEMENT LP", "url": "https://advisorcensus.com/firm/p-schoenfeld-asset-management-lp-new-york-ny-149236", "city": "New York", "state": "NY", "years_registered": 17, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 159299, "name": "P2 Capital Partners, LLC", "name_as_filed": "P2 CAPITAL PARTNERS, LLC", "url": "https://advisorcensus.com/firm/p2-capital-partners-llc-new-york-ny-159299", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 305085, "name": "Pace Capital Management LLC", "name_as_filed": "PACE CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/pace-capital-management-llc-new-york-ny-305085", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 339618, "name": "Pacific Business School Ltd", "name_as_filed": "PACIFIC BUSINESS SCHOOL LTD", "url": "https://advisorcensus.com/firm/pacific-business-school-ltd-new-york-ny-339618", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 334551, "name": "Pacific Way Capital Management, LLC", "name_as_filed": "PACIFIC WAY CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/pacific-way-capital-management-llc-new-york-ny-334551", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 333871, "name": "Pact", "name_as_filed": "PACT", "url": "https://advisorcensus.com/firm/pact-new-york-ny-333871", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 299672, "name": "Pagaya Investments US LLC", "name_as_filed": "PAGAYA INVESTMENTS US LLC", "url": "https://advisorcensus.com/firm/pagaya-investments-us-llc-new-york-ny-299672", "city": "New York", "state": "NY", "years_registered": 5, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 157551, "name": "Paine Schwartz Partners, LLC", "name_as_filed": "PAINE SCHWARTZ PARTNERS, LLC", "url": "https://advisorcensus.com/firm/paine-schwartz-partners-llc-new-york-ny-157551", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 333644, "name": "Painswick Capital Management LP", "name_as_filed": "PAINSWICK CAPITAL MANAGEMENT LP", "url": "https://advisorcensus.com/firm/painswick-capital-management-lp-new-york-ny-333644", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 160535, "name": "Palestra Capital Management LLC", "name_as_filed": "PALESTRA CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/palestra-capital-management-llc-new-york-ny-160535", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 104581, "name": "Palisade Capital Management, LP", "name_as_filed": "PALISADE CAPITAL MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/palisade-capital-management-lp-fort-lee-nj-104581", "city": "Fort Lee", "state": "NJ", "years_registered": 31, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 322412, "name": "Palisade 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"name_as_filed": "PALISTAR CAPITAL LP", "url": "https://advisorcensus.com/firm/palistar-capital-lp-new-york-ny-300897", "city": "New York", "state": "NY", "years_registered": 7, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 159061, "name": "Palladium Equity Partners Advisor, LLC", "name_as_filed": "PALLADIUM EQUITY PARTNERS ADVISOR, LLC", "url": "https://advisorcensus.com/firm/palladium-equity-partners-advisor-llc-new-york-ny-159061", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 321623, "name": "Palladium Heritage Management, LLC", "name_as_filed": "PALLADIUM HERITAGE MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/palladium-heritage-management-llc-new-york-ny-321623", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": 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