{ "path": "/advisors/ny/new-york", "url": "https://advisorcensus.com/advisors/ny/new-york/page/65", "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": 65, "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": 327262, "name": "Sentinel Fund Advisors, Inc.", "name_as_filed": "SENTINEL FUND ADVISORS, INC.", "url": "https://advisorcensus.com/firm/sentinel-fund-advisors-inc-new-york-ny-327262", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 137312, "name": "Senvest Management, LLC", "name_as_filed": "SENVEST MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/senvest-management-llc-new-york-ny-137312", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 338114, "name": "Serone Capital Management LLC", "name_as_filed": "SERONE CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/serone-capital-management-llc-new-york-ny-338114", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 166403, "name": "Sessa Capital", "name_as_filed": "SESSA CAPITAL", "url": "https://advisorcensus.com/firm/sessa-capital-new-york-ny-166403", "city": "New York", "state": "NY", "years_registered": 12, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 314470, "name": "Sestante Capital LLC", "name_as_filed": "SESTANTE CAPITAL LLC", "url": "https://advisorcensus.com/firm/sestante-capital-llc-new-york-ny-314470", "city": "New York", "state": "NY", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 328702, "name": "Setpoint Capital", "name_as_filed": "SETPOINT CAPITAL", "url": "https://advisorcensus.com/firm/setpoint-capital-new-york-ny-328702", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 298989, "name": "Settanni Financial LLC", "name_as_filed": "SETTANNI FINANCIAL LLC", "url": "https://advisorcensus.com/firm/settanni-financial-llc-armonk-ny-298989", "city": "Armonk", "state": "NY", "years_registered": 7, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 328067, "name": "Seva Growth LP", "name_as_filed": "SEVA GROWTH LP", "url": "https://advisorcensus.com/firm/seva-growth-lp-brooklyn-ny-328067", "city": "Brooklyn", "state": "NY", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 158722, "name": "Seven Bridges Advisors LLC", "name_as_filed": "SEVEN BRIDGES ADVISORS LLC", "url": "https://advisorcensus.com/firm/seven-bridges-advisors-llc-new-york-ny-158722", "city": "New York", "state": "NY", "years_registered": 15, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 310026, "name": "Seven Grand Managers LLC", "name_as_filed": "SEVEN GRAND MANAGERS LLC", "url": "https://advisorcensus.com/firm/seven-grand-managers-llc-bronxville-ny-310026", "city": "Bronxville", "state": "NY", "years_registered": 4, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 342528, "name": "Seven Hills Capital Management, LLC", "name_as_filed": "SEVEN HILLS CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/seven-hills-capital-management-llc-new-york-ny-342528", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 162881, "name": "Seven Mile Capital Partners, LP", "name_as_filed": "SEVEN MILE CAPITAL PARTNERS, LP", "url": "https://advisorcensus.com/firm/seven-mile-capital-partners-lp-new-york-ny-162881", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 299257, "name": "Seven Six Capital Management, LLC", "name_as_filed": "SEVEN SIX CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/seven-six-capital-management-llc-new-york-ny-299257", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 291768, "name": "Seymour Asset Management LLC", "name_as_filed": "SEYMOUR ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/seymour-asset-management-llc-new-york-ny-291768", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 287929, "name": "SFI Advisors, LLC", "name_as_filed": "SFI ADVISORS, LLC", "url": "https://advisorcensus.com/firm/sfi-advisors-llc-montclair-nj-287929", "city": "Montclair", "state": "NJ", "years_registered": 9, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 335852, "name": "Sfumato Capital Management LLC", "name_as_filed": "SFUMATO CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/sfumato-capital-management-llc-new-york-ny-335852", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 160561, "name": "SFW Capital Partners LP", "name_as_filed": "SFW CAPITAL PARTNERS LP", "url": "https://advisorcensus.com/firm/sfw-capital-partners-lp-rye-ny-160561", "city": "Rye", "state": "NY", "years_registered": 14, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 181524, "name": "SG Securities, LLC", "name_as_filed": "SG SECURITIES, LLC", "url": "https://advisorcensus.com/firm/sg-securities-llc-flemington-nj-181524", "city": "Flemington", "state": "NJ", "years_registered": 11, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "hourly" ], "enhanced": false }, { "crd_number": 340789, "name": "SGA Capital LLC", "name_as_filed": "SGA CAPITAL LLC", "url": "https://advisorcensus.com/firm/sga-capital-llc-new-york-ny-340789", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 324921, "name": "SGI Partners", "name_as_filed": "SGI PARTNERS", "url": "https://advisorcensus.com/firm/sgi-partners-new-york-ny-324921", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 286273, "name": "SGKD Advisory Services LLC", "name_as_filed": "SGKD ADVISORY SERVICES LLC", "url": "https://advisorcensus.com/firm/sgkd-advisory-services-llc-rumson-nj-286273", "city": "Rumson", "state": "NJ", "years_registered": 9, "raum_band": "not_reported", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 342272, "name": "Shadowbox Logistics", "name_as_filed": "SHADOWBOX LOGISTICS", "url": "https://advisorcensus.com/firm/shadowbox-logistics-new-york-ny-342272", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 151857, "name": "Shamrock Financial Services", "name_as_filed": "SHAMROCK FINANCIAL SERVICES", "url": "https://advisorcensus.com/firm/shamrock-financial-services-woodcliff-lake-nj-151857", "city": "Woodcliff Lake", "state": "NJ", "years_registered": 6, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 161538, "name": "Shannon River Fund Management, LLC", "name_as_filed": "SHANNON RIVER FUND MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/shannon-river-fund-management-llc-new-york-ny-161538", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 120801, "name": "Shapiro Financial Security Group, Inc.", "name_as_filed": "SHAPIRO FINANCIAL SECURITY GROUP, INC.", "url": "https://advisorcensus.com/firm/shapiro-financial-security-group-inc-hazlet-nj-120801", "city": "Hazlet", "state": "NJ", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 122770, "name": "Share and Harris, L.L.C.", "name_as_filed": "SHARE AND HARRIS, L.L.C.", "url": "https://advisorcensus.com/firm/share-and-harris-l-l-c-east-brunswick-nj-122770", "city": "East Brunswick", "state": "NJ", "years_registered": 24, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed" ], "enhanced": false }, { "crd_number": 307176, "name": "Sharenett Investment Advisors, LLC", "name_as_filed": "SHARENETT INVESTMENT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/sharenett-investment-advisors-llc-new-york-ny-307176", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 338664, "name": "Sharpe Advisors, LLC", "name_as_filed": "SHARPE ADVISORS, LLC", "url": "https://advisorcensus.com/firm/sharpe-advisors-llc-new-york-ny-338664", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 126560, "name": "Sheehan Financial Advisors, LLC", "name_as_filed": "SHEEHAN FINANCIAL ADVISORS, LLC", "url": "https://advisorcensus.com/firm/sheehan-financial-advisors-llc-brightwaters-ny-126560", "city": "Brightwaters", "state": "NY", "years_registered": 25, "raum_band": "not_reported", "compensation_types": [ "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 142739, "name": "Shelter Rock Management, LLC", "name_as_filed": "SHELTER ROCK MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/shelter-rock-management-llc-jericho-ny-142739", "city": "Jericho", "state": "NY", "years_registered": 13, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 112192, "name": "Shenkman Capital Management, Inc.", "name_as_filed": "SHENKMAN CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/shenkman-capital-management-inc-new-york-ny-112192", "city": "New York", "state": "NY", "years_registered": 41, "raum_band": "over_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 160178, "name": "Sherborne Investors Management LP", "name_as_filed": "SHERBORNE INVESTORS MANAGEMENT LP", "url": "https://advisorcensus.com/firm/sherborne-investors-management-lp-new-york-ny-160178", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 341170, "name": "Sherman Street Capital LLC", "name_as_filed": "SHERMAN STREET CAPITAL LLC", "url": "https://advisorcensus.com/firm/sherman-street-capital-llc-new-york-ny-341170", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 329963, "name": "Shikhara Investment Management LP", "name_as_filed": "SHIKHARA INVESTMENT MANAGEMENT LP", "url": "https://advisorcensus.com/firm/shikhara-investment-management-lp-new-york-ny-329963", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 107533, "name": "Shikiar Asset Management Inc", "name_as_filed": "SHIKIAR ASSET MANAGEMENT INC", "url": "https://advisorcensus.com/firm/shikiar-asset-management-inc-new-york-ny-107533", "city": "New York", "state": "NY", "years_registered": 33, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 311659, "name": "Shine Capital", "name_as_filed": "SHINE CAPITAL", "url": "https://advisorcensus.com/firm/shine-capital-new-york-ny-311659", "city": "New York", "state": "NY", "years_registered": 5, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 299824, "name": "Shore Financial Planning", "name_as_filed": "SHORE FINANCIAL PLANNING", "url": "https://advisorcensus.com/firm/shore-financial-planning-monmouth-beach-nj-299824", "city": "Monmouth Beach", "state": "NJ", "years_registered": 7, "raum_band": "25m_100m", "compensation_types": [ "fixed" ], "enhanced": false }, { "crd_number": 296848, "name": "Shore Point Advisors, LLC", "name_as_filed": "SHORE POINT ADVISORS, LLC", "url": "https://advisorcensus.com/firm/shore-point-advisors-llc-brielle-nj-296848", "city": "Brielle", "state": "NJ", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 290660, "name": "Shorebridge Capital Management, LLC", "name_as_filed": "SHOREBRIDGE CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/shorebridge-capital-management-llc-summit-nj-290660", "city": "Summit", "state": "NJ", "years_registered": 8, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 308026, "name": "Shorehaven Wealth Partners, LLC", "name_as_filed": "SHOREHAVEN WEALTH PARTNERS, LLC", "url": "https://advisorcensus.com/firm/shorehaven-wealth-partners-llc-red-bank-nj-308026", "city": "Red Bank", "state": "NJ", "years_registered": 6, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 339581, "name": "Short Cliffs Capital LLC", "name_as_filed": "SHORT CLIFFS CAPITAL LLC", "url": "https://advisorcensus.com/firm/short-cliffs-capital-llc-short-hills-nj-339581", "city": "Short Hills", "state": "NJ", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 289785, "name": "Shrewsbury River Capital LP", "name_as_filed": "SHREWSBURY RIVER CAPITAL LP", "url": "https://advisorcensus.com/firm/shrewsbury-river-capital-lp-red-bank-nj-289785", "city": "Red Bank", "state": "NJ", "years_registered": 8, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 3403, "name": "Shufro, Rose & Co., LLC", "name_as_filed": "SHUFRO, ROSE & CO., LLC", "url": "https://advisorcensus.com/firm/shufro-rose-and-co-llc-new-york-ny-3403", "city": "New York", "state": "NY", "years_registered": 71, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 142897, "name": "Shulman Demeo Asset Management, LLC", "name_as_filed": "SHULMAN DEMEO ASSET MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/shulman-demeo-asset-management-llc-lake-success-ny-142897", "city": "Lake Success", "state": "NY", "years_registered": 19, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed", "other" ], "enhanced": false }, { "crd_number": 162720, "name": "Sibilla Capital Management LLC", "name_as_filed": "SIBILLA CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/sibilla-capital-management-llc-new-york-ny-162720", 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