{ "path": "/advisors/ny/new-york", "url": "https://advisorcensus.com/advisors/ny/new-york/page/8", "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": "AdvisorCensus lists 3,971 investment advisory firms with a principal office in the New York metro area, drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; sort by years registered or assets band using the controls below. 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": 8, "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": 335177, "name": "ASA Asset Management LLC", "name_as_filed": "ASA ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/asa-asset-management-llc-new-york-ny-335177", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 306302, "name": "Ascend Advisor Services LLC", "name_as_filed": "ASCEND ADVISOR SERVICES LLC", "url": "https://advisorcensus.com/firm/ascend-advisor-services-llc-new-york-ny-306302", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 317344, "name": "Ascend Interplay, LLC", "name_as_filed": "ASCEND INTERPLAY, LLC", "url": "https://advisorcensus.com/firm/ascend-interplay-llc-new-york-ny-317344", "city": "New York", "state": "NY", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 310515, "name": "Ascend Partners", "name_as_filed": "ASCEND PARTNERS", "url": "https://advisorcensus.com/firm/ascend-partners-new-york-ny-310515", "city": "New York", "state": "NY", "years_registered": 5, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 320877, "name": "Ascent Capital Management, Inc.", "name_as_filed": "ASCENT CAPITAL MANAGEMENT, INC.", "url": "https://advisorcensus.com/firm/ascent-capital-management-inc-newton-nj-320877", "city": "Newton", "state": "NJ", "years_registered": 4, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 307199, "name": "Ascent Systematic Advisors LLC", "name_as_filed": "ASCENT SYSTEMATIC ADVISORS LLC", "url": "https://advisorcensus.com/firm/ascent-systematic-advisors-llc-new-york-ny-307199", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 343623, "name": "Ascentio Capital, LP", "name_as_filed": "ASCENTIO CAPITAL, LP", "url": "https://advisorcensus.com/firm/ascentio-capital-lp-new-york-ny-343623", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 168788, "name": "Ashbay Capital, LLC", "name_as_filed": "ASHBAY CAPITAL, LLC", "url": "https://advisorcensus.com/firm/ashbay-capital-llc-new-york-ny-168788", "city": "New York,", "state": "NY", "years_registered": 12, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 169616, "name": "Ashe Capital Management, LP", "name_as_filed": "ASHE CAPITAL MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/ashe-capital-management-lp-englewood-cliffs-nj-169616", "city": "Englewood Cliffs", "state": "NJ", "years_registered": 12, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 337741, "name": "Aslan Rose LLC", "name_as_filed": "ASLAN ROSE LLC", "url": "https://advisorcensus.com/firm/aslan-rose-llc-huntington-ny-337741", "city": "Huntington", "state": "NY", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 334812, "name": "Aspen Renewable Investments, L.L.C.", "name_as_filed": "ASPEN RENEWABLE INVESTMENTS, L.L.C.", "url": "https://advisorcensus.com/firm/aspen-renewable-investments-l-l-c-new-york-ny-334812", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based", "other" ], "enhanced": false }, { "crd_number": 150652, "name": "Aspire Advisors, LLC", "name_as_filed": "ASPIRE ADVISORS, LLC", "url": "https://advisorcensus.com/firm/aspire-advisors-llc-north-white-plains-ny-150652", "city": "North White Plains", "state": "NY", "years_registered": 13, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 327902, "name": "Aspire Strategist Portfolios LLC", "name_as_filed": "ASPIRE STRATEGIST PORTFOLIOS LLC", "url": "https://advisorcensus.com/firm/aspire-strategist-portfolios-llc-new-york-ny-327902", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 338618, "name": "Aspire Wealth Advisory Group, LLC", "name_as_filed": "ASPIRE WEALTH ADVISORY GROUP, LLC", "url": "https://advisorcensus.com/firm/aspire-wealth-advisory-group-llc-new-york-ny-338618", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 106618, "name": "Asset Advisory Group, Inc.", "name_as_filed": "ASSET ADVISORY GROUP, INC.", "url": "https://advisorcensus.com/firm/asset-advisory-group-inc-kinnelon-nj-106618", "city": "Kinnelon", "state": "NJ", "years_registered": 32, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 128793, "name": "Asset Management Consulting Services, Inc.", "name_as_filed": "ASSET MANAGEMENT CONSULTING SERVICES, INC.", "url": "https://advisorcensus.com/firm/asset-management-consulting-services-inc-livingston-nj-128793", "city": "Livingston", "state": "NJ", "years_registered": 22, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 108982, "name": "Asset Management One USA Inc.", "name_as_filed": "ASSET MANAGEMENT ONE USA INC.", "url": "https://advisorcensus.com/firm/asset-management-one-usa-inc-new-york-ny-108982", "city": "New York", "state": "NY", "years_registered": 28, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "hourly", "other" ], "enhanced": false }, { "crd_number": 40701, "name": "Asset Management Services Group, Inc.", "name_as_filed": "ASSET MANAGEMENT SERVICES GROUP, INC.", "url": "https://advisorcensus.com/firm/asset-management-services-group-inc-toms-river-nj-40701", "city": "Toms River", "state": "NJ", "years_registered": 24, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 311479, "name": "Assured Healthcare Partners LLC", "name_as_filed": "ASSURED HEALTHCARE PARTNERS LLC", "url": "https://advisorcensus.com/firm/assured-healthcare-partners-llc-new-york-ny-311479", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 317647, "name": "Astara Capital Partners, L.P.", "name_as_filed": "ASTARA CAPITAL PARTNERS, L.P.", "url": "https://advisorcensus.com/firm/astara-capital-partners-l-p-new-york-ny-317647", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 288271, "name": "Astoria Portfolio Advisors LLC", "name_as_filed": "ASTORIA PORTFOLIO ADVISORS LLC", "url": "https://advisorcensus.com/firm/astoria-portfolio-advisors-llc-new-york-ny-288271", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 321136, "name": "Astra Wealth Partners", "name_as_filed": "ASTRA WEALTH PARTNERS", "url": "https://advisorcensus.com/firm/astra-wealth-partners-jersey-city-nj-321136", "city": "Jersey City", "state": "NJ", "years_registered": 4, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 205513, "name": "Asymmetric Return Capital LLC", "name_as_filed": "ASYMMETRIC RETURN CAPITAL LLC", "url": "https://advisorcensus.com/firm/asymmetric-return-capital-llc-new-york-ny-205513", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 318956, "name": "Asymmetrical Capital Management LLC", "name_as_filed": "ASYMMETRICAL CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/asymmetrical-capital-management-llc-new-york-ny-318956", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 226714, "name": "Atalan Capital Partners, LP", "name_as_filed": "ATALAN CAPITAL PARTNERS, LP", "url": "https://advisorcensus.com/firm/atalan-capital-partners-lp-new-york-ny-226714", "city": "New York", "state": "NY", "years_registered": 11, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 104880, "name": "Atalanta Sosnoff Capital, LLC", "name_as_filed": "ATALANTA SOSNOFF CAPITAL, LLC", "url": "https://advisorcensus.com/firm/atalanta-sosnoff-capital-llc-new-york-ny-104880", "city": "New York", "state": "NY", "years_registered": 44, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 11085, "name": "Atalanta Sosnoff Management, LLC", "name_as_filed": "ATALANTA SOSNOFF MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/atalanta-sosnoff-management-llc-new-york-ny-11085", "city": "New York", "state": "NY", "years_registered": 41, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 169302, "name": "Aterian Investment Management, LP", "name_as_filed": "ATERIAN INVESTMENT MANAGEMENT, LP", "url": "https://advisorcensus.com/firm/aterian-investment-management-lp-new-york-ny-169302", "city": "New York", "state": "NY", "years_registered": 12, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 170857, "name": "Atherean Asset Management LLC", "name_as_filed": "ATHEREAN ASSET MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/atherean-asset-management-llc-jersey-city-nj-170857", "city": "Jersey City", "state": "NJ", "years_registered": 12, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 161528, "name": "Athyrium Capital Management LP", "name_as_filed": "ATHYRIUM CAPITAL MANAGEMENT LP", "url": "https://advisorcensus.com/firm/athyrium-capital-management-lp-new-york-ny-161528", "city": "New York", "state": "NY", "years_registered": 14, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 167227, "name": "Atika Capital Management, LLC", "name_as_filed": "ATIKA CAPITAL MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/atika-capital-management-llc-new-york-ny-167227", "city": "New York", "state": "NY", "years_registered": 11, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 173866, "name": "ATL Advisor LP", "name_as_filed": "ATL ADVISOR LP", "url": "https://advisorcensus.com/firm/atl-advisor-lp-new-york-ny-173866", "city": "New York", "state": "NY", "years_registered": 11, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based", "other" ], "enhanced": false }, { "crd_number": 312501, "name": "Atla Capital Management LLC", "name_as_filed": "ATLA CAPITAL MANAGEMENT LLC", "url": "https://advisorcensus.com/firm/atla-capital-management-llc-new-york-ny-312501", "city": "New York", "state": "NY", "years_registered": 3, "raum_band": "25m_100m", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 163428, "name": "Atlantic Creek Investment Management, LLC", "name_as_filed": "ATLANTIC CREEK INVESTMENT MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/atlantic-creek-investment-management-llc-new-york-ny-163428", "city": "New York", "state": "NY", "years_registered": 12, "raum_band": "500m_1b", "compensation_types": [ "performance_based", "other" ], "enhanced": false }, { "crd_number": 137698, "name": "Atlantic Investment Management, Inc", "name_as_filed": "ATLANTIC INVESTMENT MANAGEMENT, INC", "url": "https://advisorcensus.com/firm/atlantic-investment-management-inc-new-york-ny-137698", "city": "New York", "state": "NY", "years_registered": 20, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 339611, "name": "Atlantic Ridge Capital LLC", "name_as_filed": "ATLANTIC RIDGE CAPITAL LLC", "url": "https://advisorcensus.com/firm/atlantic-ridge-capital-llc-new-york-ny-339611", "city": "New York", "state": "NY", "years_registered": 0, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 172124, "name": "Atlas Merchant Capital LLC", "name_as_filed": "ATLAS MERCHANT CAPITAL LLC", "url": "https://advisorcensus.com/firm/atlas-merchant-capital-llc-new-york-ny-172124", "city": "New York", "state": "NY", "years_registered": 11, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "fixed", "performance_based" ], "enhanced": false }, { "crd_number": 336483, "name": "Atlas Meridian Capital LLC", "name_as_filed": "ATLAS MERIDIAN CAPITAL LLC", "url": "https://advisorcensus.com/firm/atlas-meridian-capital-llc-new-york-ny-336483", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "under_25m", "compensation_types": [ "percentage_of_aum", "fixed" ], "enhanced": false }, { "crd_number": 283744, "name": "Atlas Private Wealth Advisors", "name_as_filed": "ATLAS PRIVATE WEALTH ADVISORS", "url": "https://advisorcensus.com/firm/atlas-private-wealth-advisors-red-bank-nj-283744", "city": "Red Bank", "state": "NJ", "years_registered": 10, "raum_band": "500m_1b", "compensation_types": [ "percentage_of_aum", "hourly", "fixed" ], "enhanced": false }, { "crd_number": 334570, "name": "Atmanna Partners LLC", "name_as_filed": "ATMANNA PARTNERS LLC", "url": "https://advisorcensus.com/firm/atmanna-partners-llc-short-hills-nj-334570", "city": "Short Hills", "state": "NJ", "years_registered": 1, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 313255, "name": "Atomic Invest LLC", "name_as_filed": "ATOMIC INVEST LLC", "url": "https://advisorcensus.com/firm/atomic-invest-llc-new-york-ny-313255", "city": "New York", "state": "NY", "years_registered": 5, "raum_band": "100m_500m", "compensation_types": [ "percentage_of_aum" ], "enhanced": false }, { "crd_number": 168807, "name": "Atrevida Partners, LLC", "name_as_filed": "ATREVIDA PARTNERS, LLC", "url": "https://advisorcensus.com/firm/atrevida-partners-llc-rye-ny-168807", "city": "Rye", "state": "NY", "years_registered": 12, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 283146, "name": "ATW Partners LLC", "name_as_filed": "ATW PARTNERS LLC", "url": "https://advisorcensus.com/firm/atw-partners-llc-new-york-ny-283146", "city": "New York", "state": "NY", "years_registered": 6, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", 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"not_reported", "compensation_types": [ "other" ], "enhanced": false }, { "crd_number": 332685, "name": "Audacity Venture Management, LLC", "name_as_filed": "AUDACITY VENTURE MANAGEMENT, LLC", "url": "https://advisorcensus.com/firm/audacity-venture-management-llc-new-york-ny-332685", "city": "New York", "state": "NY", "years_registered": 2, "raum_band": "not_reported", "compensation_types": [], "enhanced": false }, { "crd_number": 333812, "name": "Audax PDB Management Company, LLC", "name_as_filed": "AUDAX PDB MANAGEMENT COMPANY, LLC", "url": "https://advisorcensus.com/firm/audax-pdb-management-company-llc-new-york-ny-333812", "city": "New York", "state": "NY", "years_registered": 1, "raum_band": "1b_5b", "compensation_types": [ "percentage_of_aum", "performance_based" ], "enhanced": false }, { "crd_number": 159458, "name": "Audax Private Debt", "name_as_filed": "AUDAX PRIVATE DEBT", "url": "https://advisorcensus.com/firm/audax-private-debt-new-york-ny-159458", "city": "New York", 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