{ "crd_number": 150575, "slug": "16th-amendment-advisors-llc-new-york-ny-150575", "primary_business_name": "16TH AMENDMENT ADVISORS LLC", "legal_name": "16TH AMENDMENT ADVISORS LLC", "dbas": [ "16ROCK ASSET MANAGEMENT" ], "city": "New York", "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": "2009-06-23", "years_registered": 17, "period": "2026-10-01", "filing_date": "2026-03-03", "carried_forward": false, "raum_total": 390232030.0, "raum_discretionary": 390232030.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 8, "advisory_employees": 6, "client_count_bucket": null, "clients_by_type": { "high_net_worth_individuals": { "raum": 286993724.0, "count": 79 }, "pooled_investment_vehicles": { "raum": 103238306.0, "count": 1 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "FL", "MA", "NY", "OH", "SC", "TN" ], "websites": [ "https://16rock.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/150575", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/16th-amendment-advisors-llc-new-york-ny-150575", "display_name": "16th Amendment Advisors LLC", "summary": "16th Amendment Advisors LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2009, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 3, 2026.", "citation": "AdvisorCensus. 16th Amendment Advisors LLC (CRD 150575): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is 16th Amendment Advisors LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), 16th Amendment Advisors LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is 16th Amendment Advisors LLC located?", "a": "16th Amendment Advisors LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is 16th Amendment Advisors LLC registered with the SEC or a state?", "a": "16th Amendment Advisors LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 150575." }, { "q": "How much does 16th Amendment Advisors LLC manage?", "a": "16th Amendment Advisors LLC reports $390,232,030 in regulatory assets under management in its Form ADV filing dated March 3, 2026 (100% discretionary)." }, { "q": "How have 16th Amendment Advisors LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for 16th Amendment Advisors LLC: Regulatory assets under management: $110,300,000 in the October 2021 data and $390,232,030 in the October 2026 data, up 254%. Total employees: 5 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does 16th Amendment Advisors LLC serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (79); pooled investment vehicles (other than investment companies and business development companies) (1)." }, { "q": "Which custodians does 16th Amendment Advisors LLC use?", "a": "16th Amendment Advisors LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Fidelity Brokerage Services LLC and Raymond James & Associates, Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does 16th Amendment 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/150575" }, { "q": "What changed in 16th Amendment Advisors LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $323,585,528 to $390,232,030 (+21%)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 110300000.0, "total_employees": 5, "filing_date": "2021-04-26" }, { "period": "2022-10-01", "regulatory_assets_under_management": 109036000.0, "total_employees": 6, "filing_date": "2022-09-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 164450264.0, "total_employees": 6, "filing_date": "2023-03-16" }, { "period": "2024-10-01", "regulatory_assets_under_management": 228789175.0, "total_employees": 8, "filing_date": "2024-03-07" }, { "period": "2025-10-01", "regulatory_assets_under_management": 323585528.0, "total_employees": 8, "filing_date": "2025-04-14" }, { "period": "2026-10-01", "regulatory_assets_under_management": 390232030.0, "total_employees": 8, "filing_date": "2026-03-03" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $323,585,528 to $390,232,030 (+21%)." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Added the business name 16ROCK Asset Management." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "Fidelity Brokerage Services LLC", "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC", "affiliated": false }, { "name": "Raymond James & Associates, Inc.", "name_as_filed": "RAYMOND JAMES & ASSOCIATES, 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/16th-amendment-advisors-llc-new-york-ny-150575.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 79, "fewer_than_5": false, "raum": 286993724.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 1, "fewer_than_5": false, "raum": 103238306.0 } ], "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/150575", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }