# 16th Amendment Advisors LLC

> 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.

- CRD: 150575
- Filed as: 16TH AMENDMENT ADVISORS LLC
- Also doing business as: 16ROCK ASSET MANAGEMENT
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 3, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/150575
- AdvisorCensus page: https://advisorcensus.com/firm/16th-amendment-advisors-llc-new-york-ny-150575

## Quick answers

**How is 16th Amendment Advisors LLC compensated?**
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.

**Where is 16th Amendment Advisors LLC located?**
16th Amendment Advisors LLC's principal office is in New York, NY, according to its Form ADV.

**Is 16th Amendment Advisors LLC registered with the SEC or a state?**
16th Amendment Advisors LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 150575.

**How much does 16th Amendment Advisors LLC manage?**
16th Amendment Advisors LLC reports $390,232,030 in regulatory assets under management in its Form ADV filing dated March 3, 2026 (100% discretionary).

**How have 16th Amendment Advisors LLC's assets and staff changed since 2021?**
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.

**What types of clients does 16th Amendment Advisors LLC serve?**
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).

**Which custodians does 16th Amendment Advisors LLC use?**
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.

**Does 16th Amendment 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/150575

**What changed in 16th Amendment Advisors LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $323,585,528 to $390,232,030 (+21%).

## From the Form ADV filing

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

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC
- Raymond James & Associates, 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: $390,232,030
- Discretionary: $390,232,030
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 79 | $286,993,724 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $103,238,306 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2009 (17 years)
- Employees: 8 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, MA, NY, OH, SC, TN
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- 16rock.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $110,300,000 | 5 | April 26, 2021 |
| October 2022 | $109,036,000 | 6 | September 28, 2022 |
| October 2023 | $164,450,264 | 6 | March 16, 2023 |
| October 2024 | $228,789,175 | 8 | March 7, 2024 |
| October 2025 | $323,585,528 | 8 | April 14, 2025 |
| October 2026 | $390,232,030 | 8 | March 3, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $323,585,528 to $390,232,030 (+21%).

### January 2026
- Added the business name 16ROCK Asset Management.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. 16th Amendment Advisors LLC (CRD 150575): Form ADV filing data as of October 2026.