# Andrew Garrett, Inc.

> Andrew Garrett, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2010, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated April 15, 2026.

- CRD: 29931
- Filed as: ANDREW GARRETT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: April 15, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/29931
- AdvisorCensus page: https://advisorcensus.com/firm/andrew-garrett-inc-new-york-ny-29931

## Quick answers

**How is Andrew Garrett, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Andrew Garrett, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Andrew Garrett, Inc. located?**
Andrew Garrett, Inc.'s principal office is in New York, NY, according to its Form ADV; the May 2026 filing also lists 3 other offices (Schedule D, Section 1.F).

**Is Andrew Garrett, Inc. registered with the SEC or a state?**
Andrew Garrett, Inc. is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 29931.

**How much does Andrew Garrett, Inc. manage?**
Andrew Garrett, Inc. reports $521,347,399 in regulatory assets under management in its Form ADV filing dated April 15, 2026 (26% discretionary).

**How have Andrew Garrett, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Andrew Garrett, Inc.: Regulatory assets under management: $205,896,636 in the October 2021 data and $521,347,399 in the October 2026 data, up 153%. Total employees: 18 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Andrew Garrett, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (614); high net worth individuals (504); pooled investment vehicles (other than investment companies and business development companies) (4).

**Does Andrew Garrett, Inc. report any disciplinary disclosures?**
Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.E(2) (self-regulatory organization's finding of a rule violation), and 11.E(3) (self-regulatory organization's finding of causing a business's authorization to be denied, suspended, revoked, or restricted). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/29931

**What changed in Andrew Garrett, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $663,049,158 to $521,347,399 (-21%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $521,347,399
- Discretionary: $133,537,619
- Non-discretionary: $387,809,780

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 614 | $131,099,069 |
| High net worth individuals | 504 | $305,897,830 |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $84,350,500 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2010 (16 years)
- Employees: 14 total, 10 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AL, AR, AZ, CA, CO, CT, DE, FL, GA, HI, IL, KS, LA, MA, MD, MI, MN, MO, NC, NJ, NV, NY, OH, OK, OR, PA, PR, SC, TX, UT, VA, WA, WV, WY
- Disclosures (Item 11): Reports 6 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(3): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/29931

### Other offices (Schedule D, Section 1.F), as of the May 2026 filing
- Newtown, PA
- Perkasie, PA
- Springfield, MO

### Websites listed on Form ADV (Item 1.I)
- andrewgarrett.com
- buckscapitaladvisors.com
- princetonfinancialpartners.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $205,896,636 | 18 | June 14, 2021 |
| October 2022 | $341,488,385 | 18 | April 27, 2022 |
| October 2023 | $405,994,942 | 15 | September 20, 2023 |
| October 2024 | $470,136,139 | 15 | May 13, 2024 |
| October 2025 | $663,049,158 | 13 | March 31, 2025 |
| October 2026 | $521,347,399 | 14 | April 15, 2026 |

Regulatory assets under management: $205,896,636 in the October 2021 data and $521,347,399 in the October 2026 data, up 153%.
Total employees: 18 in October 2021 and 14 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $663,049,158 to $521,347,399 (-21%).

### December 2025
- Registered or notice-filed in KS.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Andrew Garrett, Inc. (CRD 29931): Form ADV filing data as of October 2026.