{
  "crd_number": 159296,
  "slug": "cantor-fitzgerald-investment-advisors-new-york-ny-159296",
  "primary_business_name": "CANTOR FITZGERALD INVESTMENT ADVISORS",
  "legal_name": "CANTOR FITZGERALD INVESTMENT ADVISORS, L.P.",
  "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": "2011-11-15",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-07-15",
  "carried_forward": false,
  "raum_total": 3240009707.0,
  "raum_discretionary": 3240009707.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 35,
  "advisory_employees": 7,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 46023972.0,
      "count": 35
    },
    "individuals": {
      "raum": 187629269.0,
      "count": 592
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 1678528799.0,
      "count": 6
    },
    "pension_profit_sharing": {
      "raum": 21798179.0,
      "count": 10
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 1144288944.0,
      "count": 625
    },
    "pooled_investment_vehicles": {
      "raum": 114565665.0,
      "count": 3
    },
    "corporations_other_businesses": {
      "raum": 47174879.0,
      "count": 24
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 4,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://cantor.com/OUR-BUSINESS/ASSET-MANAGEMENT",
    "https://cantorassetmanagement.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/159296",
  "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?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/cantor-fitzgerald-investment-advisors-new-york-ny-159296",
  "display_name": "Cantor Fitzgerald Investment Advisors",
  "summary": "Cantor Fitzgerald Investment Advisors is an SEC-registered investment advisory firm in New York, NY, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 15, 2026.",
  "citation": "AdvisorCensus. Cantor Fitzgerald Investment Advisors (CRD 159296): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Cantor Fitzgerald Investment Advisors compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Cantor Fitzgerald Investment Advisors reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); performance-based fees; other."
    },
    {
      "q": "Where is Cantor Fitzgerald Investment Advisors located?",
      "a": "Cantor Fitzgerald Investment Advisors' principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Cantor Fitzgerald Investment Advisors registered with the SEC or a state?",
      "a": "Cantor Fitzgerald Investment Advisors is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 159296."
    },
    {
      "q": "How much does Cantor Fitzgerald Investment Advisors manage?",
      "a": "Cantor Fitzgerald Investment Advisors reports $3,240,009,707 in regulatory assets under management in its Form ADV filing dated July 15, 2026 (100% discretionary)."
    },
    {
      "q": "How have Cantor Fitzgerald Investment Advisors' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Cantor Fitzgerald Investment Advisors: Regulatory assets under management: $3,474,258,450 in the October 2021 data and $3,240,009,707 in the October 2026 data, down 7%. Total employees: 32 in October 2021 and 35 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Cantor Fitzgerald Investment Advisors serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (625); individuals (other than high net worth individuals) (592); charitable organizations (35)."
    },
    {
      "q": "Which custodians does Cantor Fitzgerald Investment Advisors use?",
      "a": "Cantor Fitzgerald Investment Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Truist Investment Services, Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Cantor Fitzgerald Investment Advisors report any disciplinary disclosures?",
      "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/159296"
    },
    {
      "q": "What changed in Cantor Fitzgerald Investment Advisors' recent Form ADV filings?",
      "a": "In the August 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 3474258450.0,
      "total_employees": 32,
      "filing_date": "2021-06-10"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 3998094554.0,
      "total_employees": 32,
      "filing_date": "2022-09-23"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2336482672.0,
      "total_employees": 32,
      "filing_date": "2023-02-27"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1643515117.0,
      "total_employees": 35,
      "filing_date": "2024-05-09"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2384816869.0,
      "total_employees": 35,
      "filing_date": "2025-05-08"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 3240009707.0,
      "total_employees": 35,
      "filing_date": "2026-07-15"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $2,384,816,869 to $3,240,009,707 (+36%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-12-01",
      "period_label": "December 2025",
      "notes": [
        "Item 11 disclosure answers changed: 4 yes answers, previously 5 (now no: 11.F)."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Truist Investment Services, Inc.",
      "name_as_filed": "TRUIST INVESTMENT SERVICES, 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/cantor-fitzgerald-investment-advisors-new-york-ny-159296.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 592,
      "fewer_than_5": false,
      "raum": 187629269.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 625,
      "fewer_than_5": false,
      "raum": 1144288944.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 6,
      "fewer_than_5": false,
      "raum": 1678528799.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 3,
      "fewer_than_5": false,
      "raum": 114565665.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 10,
      "fewer_than_5": false,
      "raum": 21798179.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 35,
      "fewer_than_5": false,
      "raum": 46023972.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 24,
      "fewer_than_5": false,
      "raum": 47174879.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 4 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/159296",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}