{ "crd_number": 312504, "slug": "1230-advisors-llc-pound-ridge-ny-312504", "primary_business_name": "1230 ADVISORS, LLC", "legal_name": "1230 ADVISORS, LLC", "dbas": [], "city": "Pound Ridge", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2021-04-12", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-01-30", "carried_forward": false, "raum_total": 106200000.0, "raum_discretionary": 68500000.0, "raum_non_discretionary": 37700000.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 8200000.0, "count": 12 }, "high_net_worth_individuals": { "raum": 98000000.0, "count": 18 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "FL", "NJ", "NY" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/312504", "city_as_filed": "POUND RIDGE", "url": "https://advisorcensus.com/firm/1230-advisors-llc-pound-ridge-ny-312504", "display_name": "1230 Advisors, LLC", "summary": "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.", "citation": "AdvisorCensus. 1230 Advisors, LLC (CRD 312504): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is 1230 Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), 1230 Advisors, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "What does 1230 Advisors, LLC's brochure say about its fees?", "a": "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." }, { "q": "Where is 1230 Advisors, LLC located?", "a": "1230 Advisors, LLC's principal office is in Pound Ridge, NY, according to its Form ADV." }, { "q": "Is 1230 Advisors, LLC registered with the SEC or a state?", "a": "1230 Advisors, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 312504." }, { "q": "How much does 1230 Advisors, LLC manage?", "a": "1230 Advisors, LLC reports $106,200,000 in regulatory assets under management in its Form ADV filing dated January 30, 2026 (65% discretionary)." }, { "q": "How have 1230 Advisors, LLC's assets and staff changed since 2021?", "a": "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." }, { "q": "What types of clients does 1230 Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (18); individuals (other than high net worth individuals) (12)." }, { "q": "Which custodians does 1230 Advisors, LLC use?", "a": "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." }, { "q": "Does 1230 Advisors, LLC report any disciplinary disclosures?", "a": "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" }, { "q": "Does 1230 Advisors, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated January 30, 2026 says: \"1230 Advisors generally does not impose a minimum relationship size.\"" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 40000000.0, "total_employees": 1, "filing_date": "2021-07-12" }, { "period": "2022-10-01", "regulatory_assets_under_management": 69000000.0, "total_employees": 1, "filing_date": "2022-03-01" }, { "period": "2023-10-01", "regulatory_assets_under_management": 83000000.0, "total_employees": 1, "filing_date": "2023-02-10" }, { "period": "2024-10-01", "regulatory_assets_under_management": 88000000.0, "total_employees": 1, "filing_date": "2024-01-23" }, { "period": "2025-10-01", "regulatory_assets_under_management": 103300000.0, "total_employees": 1, "filing_date": "2025-05-29" }, { "period": "2026-10-01", "regulatory_assets_under_management": 106200000.0, "total_employees": 1, "filing_date": "2026-01-30" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated January 30, 2026", "tiers": [], "flat_rate": null, "stated_range": "0.65% to 2% a year", "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 0.65% to 2% a year (a range, as the brochure states it)" ], "quotes": [ "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." ] }, { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "1230 Advisors generally does not impose a minimum relationship size." ] } ], "quotes": [ "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.", "1230 Advisors generally does not impose a minimum relationship size." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "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.", "markdown_url": "https://advisorcensus.com/firm/1230-advisors-llc-pound-ridge-ny-312504.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 12, "fewer_than_5": false, "raum": 8200000.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 18, "fewer_than_5": false, "raum": 98000000.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/312504", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }