{ "crd_number": 313938, "slug": "db-advisory-america-limited-ltd-new-york-ny-313938", "primary_business_name": "DB ADVISORY AMERICA, LIMITED(LTD)", "legal_name": "DB ADVISORY AMERICA, LIMITED(LTD)", "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": "2021-06-21", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-01-29", "carried_forward": false, "raum_total": 1300000000.0, "raum_discretionary": 0.0, "raum_non_discretionary": 1300000000.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "insurance_companies": { "raum": 1300000000.0, "count": 3 } }, "compensation_types": [ "fixed" ], "advisory_activities": [ "portfolio_management_businesses_institutional" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA", "FL", "HI", "NY" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313938", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/db-advisory-america-limited-ltd-new-york-ny-313938", "display_name": "DB Advisory America, Limited(ltd)", "summary": "DB Advisory America, Limited(ltd) is an SEC-registered investment advisory firm in New York, NY, registered since 2021, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated January 29, 2026.", "citation": "AdvisorCensus. DB Advisory America, Limited(ltd) (CRD 313938): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is DB Advisory America, Limited(ltd) compensated?", "a": "On its Form ADV (Item 5.E, October 2026), DB Advisory America, Limited(ltd) reports these compensation arrangements: fixed fees (other than subscription fees)." }, { "q": "Where is DB Advisory America, Limited(ltd) located?", "a": "DB Advisory America, Limited(ltd)'s principal office is in New York, NY, according to its Form ADV." }, { "q": "Is DB Advisory America, Limited(ltd) registered with the SEC or a state?", "a": "DB Advisory America, Limited(ltd) is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 313938." }, { "q": "How much does DB Advisory America, Limited(ltd) manage?", "a": "DB Advisory America, Limited(ltd) reports $1,300,000,000 in regulatory assets under management in its Form ADV filing dated January 29, 2026 (0% discretionary)." }, { "q": "How have DB Advisory America, Limited(ltd)'s assets and staff changed since 2021?", "a": "In the Form ADV data for DB Advisory America, Limited(ltd): Regulatory assets under management: $0 in the October 2021 data and $1,300,000,000 in the October 2026 data. Total employees: 1 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does DB Advisory America, Limited(ltd) serve?", "a": "By number of clients on Form ADV Item 5.D: insurance companies (3)." }, { "q": "Which custodians does DB Advisory America, Limited(ltd) use?", "a": "DB Advisory America, Limited(ltd)'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Bank of Hawaii as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does DB Advisory America, Limited(ltd) report any disciplinary disclosures?", "a": "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/313938" }, { "q": "Does DB Advisory America, Limited(ltd) state an account minimum?", "a": "Its Form ADV Part 2A brochure dated January 26, 2026 says: \"There is no minimum account size.\"" }, { "q": "What changed in DB Advisory America, Limited(ltd)'s recent Form ADV filings?", "a": "In the February 2026 filing data: Employees performing advisory functions went from 3 to 2. Regulatory assets under management went from $1,092,800,000 to $1,300,000,000 (+19%). Registered or notice-filed in FL." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 0.0, "total_employees": 1, "filing_date": "2021-05-28" }, { "period": "2022-10-01", "regulatory_assets_under_management": 641000000.0, "total_employees": 1, "filing_date": "2022-03-08" }, { "period": "2023-10-01", "regulatory_assets_under_management": 882000000.0, "total_employees": 1, "filing_date": "2023-02-10" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1195000000.0, "total_employees": 3, "filing_date": "2024-02-15" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1092800000.0, "total_employees": 3, "filing_date": "2025-03-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1300000000.0, "total_employees": 2, "filing_date": "2026-01-29" } ], "recent_changes": [ { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Employees performing advisory functions went from 3 to 2.", "Regulatory assets under management went from $1,092,800,000 to $1,300,000,000 (+19%).", "Registered or notice-filed in FL." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated January 26, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "None", "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: None" ], "quotes": [ "There is no minimum account size." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 0.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "There is no minimum account size." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [ { "name": "Bank of Hawaii", "name_as_filed": "BANK OF HAWAII", "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/db-advisory-america-limited-ltd-new-york-ny-313938.md", "clients": [ { "type": "insurance_companies", "label": "Insurance companies", "count": 3, "fewer_than_5": false, "raum": 1300000000.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/313938", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }