# 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.

- CRD: 312504
- Filed as: 1230 ADVISORS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Pound Ridge, NY
- Filing period: October 2026
- Form ADV filing dated: January 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/312504
- AdvisorCensus page: https://advisorcensus.com/firm/1230-advisors-llc-pound-ridge-ny-312504

## Quick answers

**How 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.

**How much does 1230 Advisors, LLC charge?**
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

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated January 30, 2026)

- Asset-based fee: 0.65% to 2% a year (a range, as the brochure states it)

> 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

> 1230 Advisors generally does not impose a minimum relationship size.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $106,200,000
- Discretionary: $68,500,000
- Non-discretionary: $37,700,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 12 | $8,200,000 |
| High net worth individuals | 18 | $98,000,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2021 (5 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NJ, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $40,000,000 | 1 | July 12, 2021 |
| October 2022 | $69,000,000 | 1 | March 1, 2022 |
| October 2023 | $83,000,000 | 1 | February 10, 2023 |
| October 2024 | $88,000,000 | 1 | January 23, 2024 |
| October 2025 | $103,300,000 | 1 | May 29, 2025 |
| October 2026 | $106,200,000 | 1 | January 30, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. 1230 Advisors, LLC (CRD 312504): Form ADV filing data as of October 2026.