AdvisorCensus / Financial advisors / New York / New York / 501 North, LLC
501 North, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.
Quick answers
From the filingHow is 501 North, LLC compensated?
On its Form ADV (Item 5.E, October 2026), 501 North, LLC reports these compensation arrangements: fixed fees (other than subscription fees); performance-based fees.
Where is 501 North, LLC located?
501 North, LLC's principal office is in New York, NY, according to its Form ADV.
Is 501 North, LLC registered with the SEC or a state?
501 North, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 338118.
How much does 501 North, LLC manage?
501 North, LLC reports $329,389,453 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).
What types of clients does 501 North, LLC serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3).
Does 501 North, 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/338118
What changed in 501 North, LLC's recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 7 to 6.
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- Fixed fees (other than subscription fees)
- Performance-based fees
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 2ASee the firm's brochure (dated March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$329,389,453 as of October 2026, filing dated March 31, 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- Portfolio management for pooled investment vehicles (other than investment companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2025 (0 years)
- Employees
- Total: 9. Performing investment advisory functions: 6.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
53 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
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 7 to 6.
- January 2026
- Newly registered with the SEC.
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.ISource: 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. 501 North, LLC (CRD 338118): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/501-north-llc-new-york-ny-338118