AdvisorCensus / Financial advisors / New York / New York / 1230 Advisors, LLC
1230 Advisors, LLC
Filed as 1230 ADVISORS, LLC
1230 Advisors, LLC is an SEC-registered investment advisory firm in Pound Ridge, NY, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated January 30, 2026.
Quick answers
From the filingHow is 1230 Advisors, LLC compensated?
On its Form ADV (Item 5.E, October 2026), 1230 Advisors, LLC reports these compensation arrangements: a percentage of assets under its management.
What does 1230 Advisors, LLC's brochure say about its fees?
Its Form ADV Part 2A brochure dated January 30, 2026 states: Asset-based fee: 0.65% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is 1230 Advisors, LLC located?
1230 Advisors, LLC's principal office is in Pound Ridge, NY, according to its Form ADV.
Is 1230 Advisors, LLC registered with the SEC or a state?
1230 Advisors, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 312504.
How much does 1230 Advisors, LLC manage?
1230 Advisors, LLC reports $106,200,000 in regulatory assets under management in its Form ADV filing dated January 30, 2026 (65% discretionary).
How have 1230 Advisors, LLC's assets and staff changed since 2021?
In the Form ADV data for 1230 Advisors, LLC: Regulatory assets under management: $40,000,000 in the October 2021 data and $106,200,000 in the October 2026 data, up 166%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does 1230 Advisors, LLC serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (18); individuals (other than high net worth individuals) (12).
Which custodians does 1230 Advisors, LLC use?
1230 Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does 1230 Advisors, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/312504
Does 1230 Advisors, LLC state an account minimum?
Its Form ADV Part 2A brochure dated January 30, 2026 says: "1230 Advisors generally does not impose a minimum relationship size."
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAsset-based fee: 0.65% to 2% a year (a range, as the brochure states it)
The brochure's wording
Wealth management fees range from 0.65% to 2.00% annually. The wealth management fee in the first Billing Period of service is prorated from the inception date of the account[s] to the end of the period.
Account minimum: None
The brochure's wording
1230 Advisors generally does not impose a minimum relationship size.
As stated in the firm's Form ADV Part 2A brochure dated January 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$106,200,000 as of October 2026, filing dated January 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2021 (5 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $106,200,000 | 1 | January 30, 2026 |
| October 2025 | $103,300,000 | 1 | May 29, 2025 |
| October 2024 | $88,000,000 | 1 | January 23, 2024 |
| October 2023 | $83,000,000 | 1 | February 10, 2023 |
| October 2022 | $69,000,000 | 1 | March 1, 2022 |
| October 2021 | $40,000,000 | 1 | July 12, 2021 |
Regulatory assets under management: $40,000,000 in the October 2021 data and $106,200,000 in the October 2026 data, up 166%.
Total employees: 1 in October 2021 and 1 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. 1230 Advisors, LLC (CRD 312504): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/1230-advisors-llc-pound-ridge-ny-312504