{
  "crd_number": 105642,
  "slug": "bny-mellon-investment-adviser-inc-new-york-ny-105642",
  "primary_business_name": "BNY MELLON INVESTMENT ADVISER, INC.",
  "legal_name": "BNY MELLON INVESTMENT ADVISER, INC.",
  "dbas": [],
  "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": "1971-12-10",
  "years_registered": 54,
  "period": "2026-10-01",
  "filing_date": "2026-09-21",
  "carried_forward": false,
  "raum_total": 419461366421.0,
  "raum_discretionary": 419461366421.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 69,
  "advisory_employees": 14,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 405786414540.0,
      "count": 82
    },
    "pooled_investment_vehicles": {
      "raum": 13674951881.0,
      "count": 9
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 7,
  "states_registered": [],
  "websites": [
    "https://bny.com",
    "https://bny.com/investments"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/105642",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "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?"
    },
    {
      "item": "11.D(4)",
      "question": "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?"
    },
    {
      "item": "11.E(2)",
      "question": "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?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/bny-mellon-investment-adviser-inc-new-york-ny-105642",
  "display_name": "BNY Mellon Investment Adviser, Inc.",
  "summary": "BNY Mellon Investment Adviser, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 1971, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 21, 2026.",
  "citation": "AdvisorCensus. BNY Mellon Investment Adviser, Inc. (CRD 105642): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)"
  ],
  "quick_answers": [
    {
      "q": "How is BNY Mellon Investment Adviser, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), BNY Mellon Investment Adviser, Inc. reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does BNY Mellon Investment Adviser, Inc. charge?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 states: Asset-based fee: 0.03% to 0.65% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is BNY Mellon Investment Adviser, Inc. located?",
      "a": "BNY Mellon Investment Adviser, Inc.'s principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 5 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is BNY Mellon Investment Adviser, Inc. registered with the SEC or a state?",
      "a": "BNY Mellon Investment Adviser, Inc. is an SEC-registered investment advisory firm, registered since 1971. Status as filed: Approved. CRD 105642."
    },
    {
      "q": "How much does BNY Mellon Investment Adviser, Inc. manage?",
      "a": "BNY Mellon Investment Adviser, Inc. reports $419,461,366,421 in regulatory assets under management in its Form ADV filing dated September 21, 2026 (100% discretionary)."
    },
    {
      "q": "How have BNY Mellon Investment Adviser, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for BNY Mellon Investment Adviser, Inc.: Regulatory assets under management: $315,103,180,678 in the October 2021 data and $419,461,366,421 in the October 2026 data, up 33%. Total employees: 200 in October 2021 and 69 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does BNY Mellon Investment Adviser, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (82); pooled investment vehicles (other than investment companies and business development companies) (9)."
    },
    {
      "q": "Does BNY Mellon Investment Adviser, Inc. report any disciplinary disclosures?",
      "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.E(2)). 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/105642"
    },
    {
      "q": "What changed in BNY Mellon Investment Adviser, Inc.'s recent Form ADV filings?",
      "a": "In the October 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 315103180678.0,
      "total_employees": 200,
      "filing_date": "2021-06-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 384166419278.0,
      "total_employees": 116,
      "filing_date": "2022-05-27"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 360519054249.0,
      "total_employees": 113,
      "filing_date": "2023-09-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 339697579697.0,
      "total_employees": 96,
      "filing_date": "2024-08-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 365424538138.0,
      "total_employees": 80,
      "filing_date": "2025-04-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 419461366421.0,
      "total_employees": 69,
      "filing_date": "2026-09-21"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Item 11 disclosure answers changed: 7 yes answers, previously 8 (now no: 11.H(1)(c)).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 18 to 14.",
        "Regulatory assets under management went from $365,424,538,138 to $419,461,366,421 (+15%)."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.03% to 0.65% a year",
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.03% to 0.65% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Our fee management schedule generally ranges from 0.03% to 0.65% of AUM, based on the fund selected by the client and/or the amount invested by the client in a given fund, and on whether the fund selected features a single-rate or tiered-rate investment management fee structure."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.03,
        0.65
      ],
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Our fee management schedule generally ranges from 0.03% to 0.65% of AUM, based on the fund selected by the client and/or the amount invested by the client in a given fund, and on whether the fund selected features a single-rate or tiered-rate investment management fee structure."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/bny-mellon-investment-adviser-inc-new-york-ny-105642.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 82,
      "fewer_than_5": false,
      "raum": 405786414540.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 13674951881.0
    }
  ],
  "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.",
  "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/105642",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}