# Financial advisors in Rye, NY > AdvisorCensus lists 18 investment advisory firms with a principal office in Rye, New York (part of the New York metro area), drawn from Form ADV filings as of October 2026. Firms are listed alphabetically; the full New York metro area, including neighboring cities, is on its own page. Firms may request removal from the directory, so this count can differ from the number of firms that file Form ADV. Source: Form ADV filings as of October 2026. Rebuilt monthly. HTML page: https://advisorcensus.com/advisors/ny/new-york/rye ## At a glance - Investment advisory firms: 18 - Registration: SEC-registered investment adviser: 12, State-registered investment adviser: 1, Exempt reporting adviser: 5 - How firms are compensated (Form ADV Item 5.E; shares of the firms that file it): Fee-only (AdvisorCensus test) 2 (15%); Percentage of assets 12 (92%); Fixed fees 2 (15%); Performance-based fees 11 (85%); Other 2 (15%); No compensation arrangements reported 5 - Regulatory assets under management (Item 5.F): Under $25 million 1 (6%); $25 million to $100 million 1 (6%); $100 million to $500 million 5 (28%); $1 billion to $5 billion 5 (28%); Over $5 billion 1 (6%); Not reported 5 (28%) - Years registered: Under 5 years 6 (33%); 5 to 9 years 6 (33%); 10 to 19 years 5 (28%); 20 years or more 1 (6%) ## Firms (page 1 of 1, 1 to 18 of 18, sorted by name) | Firm | CRD | City | Registration | Assets band | Years registered | Compensation | | --- | --- | --- | --- | --- | --- | --- | | [7 Main Capital LLC](https://advisorcensus.com/firm/7-main-capital-llc-rye-ny-337389) ([md](https://advisorcensus.com/firm/7-main-capital-llc-rye-ny-337389.md)) | 337389 | Rye, NY | Exempt reporting adviser | Not reported | 1 | Not reported | | [Aifam Group LLC](https://advisorcensus.com/firm/aifam-group-llc-rye-ny-158290) ([md](https://advisorcensus.com/firm/aifam-group-llc-rye-ny-158290.md)) | 158290 | Rye, NY | SEC-registered investment adviser | $100 million to $500 million | 14 | % of assets, Fixed fee, Performance fee | | [Atrevida Partners, LLC](https://advisorcensus.com/firm/atrevida-partners-llc-rye-ny-168807) ([md](https://advisorcensus.com/firm/atrevida-partners-llc-rye-ny-168807.md)) | 168807 | Rye, NY | Exempt reporting adviser | Not reported | 12 | Not reported | | [Dunes Point Capital, L.P.](https://advisorcensus.com/firm/dunes-point-capital-l-p-rye-ny-172538) ([md](https://advisorcensus.com/firm/dunes-point-capital-l-p-rye-ny-172538.md)) | 172538 | Rye, NY | SEC-registered investment adviser | $1 billion to $5 billion | 10 | % of assets, Performance fee | | [Financial Spyglass®](https://advisorcensus.com/firm/financial-spyglass-rye-ny-166378) ([md](https://advisorcensus.com/firm/financial-spyglass-rye-ny-166378.md)) | 166378 | Rye, NY | State-registered investment adviser | Under $25 million | 2 | Fixed fee | | [Fireside Investments](https://advisorcensus.com/firm/fireside-investments-rye-ny-323080) ([md](https://advisorcensus.com/firm/fireside-investments-rye-ny-323080.md)) | 323080 | Rye, NY | Exempt reporting adviser | Not reported | 4 | Not reported | | [Gabelli Funds, LLC](https://advisorcensus.com/firm/gabelli-funds-llc-rye-ny-104949) ([md](https://advisorcensus.com/firm/gabelli-funds-llc-rye-ny-104949.md)) | 104949 | Rye, NY | SEC-registered investment adviser | Over $5 billion | 35 | % of assets, Performance fee | | [Haybeach Capital Management, LLC](https://advisorcensus.com/firm/haybeach-capital-management-llc-rye-ny-327539) ([md](https://advisorcensus.com/firm/haybeach-capital-management-llc-rye-ny-327539.md)) | 327539 | Rye, NY | SEC-registered investment adviser | $100 million to $500 million | 0 | % of assets, Performance fee | | [JPL Management Services LLC](https://advisorcensus.com/firm/jpl-management-services-llc-rye-ny-291242) ([md](https://advisorcensus.com/firm/jpl-management-services-llc-rye-ny-291242.md)) | 291242 | Rye, NY | Exempt reporting adviser | Not reported | 8 | Not reported | | [Lotus Investment Advisors](https://advisorcensus.com/firm/lotus-investment-advisors-rye-ny-172638) ([md](https://advisorcensus.com/firm/lotus-investment-advisors-rye-ny-172638.md)) | 172638 | Rye, NY | SEC-registered investment adviser | $25 million to $100 million | 12 | % of assets | | [Markin Asset Management, LP](https://advisorcensus.com/firm/markin-asset-management-lp-rye-ny-311719) ([md](https://advisorcensus.com/firm/markin-asset-management-lp-rye-ny-311719.md)) | 311719 | Rye, NY | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Performance fee | | [Merida Capital Holdings LLC](https://advisorcensus.com/firm/merida-capital-holdings-llc-rye-ny-287784) ([md](https://advisorcensus.com/firm/merida-capital-holdings-llc-rye-ny-287784.md)) | 287784 | Rye, NY | SEC-registered investment adviser | $100 million to $500 million | 5 | % of assets, Performance fee, Other | | [New AGE Alpha](https://advisorcensus.com/firm/new-age-alpha-rye-ny-299011) ([md](https://advisorcensus.com/firm/new-age-alpha-rye-ny-299011.md)) | 299011 | Rye, NY | SEC-registered investment adviser | $1 billion to $5 billion | 7 | % of assets, Performance fee | | [Ospraie Management, LLC](https://advisorcensus.com/firm/ospraie-management-llc-rye-ny-305479) ([md](https://advisorcensus.com/firm/ospraie-management-llc-rye-ny-305479.md)) | 305479 | Rye, NY | SEC-registered investment adviser | $1 billion to $5 billion | 5 | % of assets, Performance fee | | [Phoenix Merchant Partners, LP](https://advisorcensus.com/firm/phoenix-merchant-partners-lp-rye-ny-324381) ([md](https://advisorcensus.com/firm/phoenix-merchant-partners-lp-rye-ny-324381.md)) | 324381 | Rye, NY | SEC-registered investment adviser | $1 billion to $5 billion | 3 | % of assets, Performance fee | | [Sakonnet Point Capital, LP](https://advisorcensus.com/firm/sakonnet-point-capital-lp-rye-ny-331272) ([md](https://advisorcensus.com/firm/sakonnet-point-capital-lp-rye-ny-331272.md)) | 331272 | Rye, NY | Exempt reporting adviser | Not reported | 2 | Not reported | | [SFW Capital Partners LP](https://advisorcensus.com/firm/sfw-capital-partners-lp-rye-ny-160561) ([md](https://advisorcensus.com/firm/sfw-capital-partners-lp-rye-ny-160561.md)) | 160561 | Rye, NY | SEC-registered investment adviser | $100 million to $500 million | 14 | % of assets, Performance fee, Other | | [Two Seas Capital LP](https://advisorcensus.com/firm/two-seas-capital-lp-rye-ny-310191) ([md](https://advisorcensus.com/firm/two-seas-capital-lp-rye-ny-310191.md)) | 310191 | Rye, NY | SEC-registered investment adviser | $1 billion to $5 billion | 5 | % of assets, Performance fee | ## Questions people ask **How many financial advisory firms are there in Rye, NY?** AdvisorCensus lists 18 investment advisory firms with a principal office in Rye, New York (part of the New York metro area), from Form ADV filings as of October 2026: 12 SEC-registered, 1 state-registered, and 5 exempt reporting advisers. Firms may request removal, so the count can differ slightly from the number of firms that file Form ADV. **How many fee-only financial advisors are in Rye, NY?** 2 of the 18 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. **How many financial advisors in Rye, NY offer financial planning?** 1 of the 13 firms in Rye, NY that answer Form ADV Item 5.G, which asks what advisory services a firm provides, reports 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. **Are the financial advisors in Rye, NY fiduciaries?** 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 2 firms that meet AdvisorCensus's fee-only test report none of those sales ties. **How do I check whether a financial advisor has disciplinary disclosures?** 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. **Does AdvisorCensus rate, verify, or recommend these firms?** 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. **What does regulatory assets under management mean?** 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. 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Financial advisors in Rye, NY: 18 firms from Form ADV filings as of October 2026.