{ "crd_number": 310249, "slug": "derivaty-co-white-plains-ny-310249", "primary_business_name": "DERIVATY CO", "legal_name": "DERIVATY CO", "dbas": [], "city": "White Plains", "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": "2020-09-02", "years_registered": 6, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 28000000.0, "raum_discretionary": 28000000.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 3, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "other_investment_advisers": { "raum": 28000000.0, "count": 3 } }, "compensation_types": [ "other", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "NY" ], "websites": [ "https://derivaty.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/310249", "city_as_filed": "WHITE PLAINS", "url": "https://advisorcensus.com/firm/derivaty-co-white-plains-ny-310249", "display_name": "Derivaty Co", "summary": "Derivaty Co is an SEC-registered investment advisory firm in White Plains, NY, registered since 2020, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Derivaty Co (CRD 310249): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Other" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Derivaty Co compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Derivaty Co reports these compensation arrangements: a percentage of assets under its management; other." }, { "q": "Where is Derivaty Co located?", "a": "Derivaty Co's principal office is in White Plains, NY, according to its Form ADV." }, { "q": "Is Derivaty Co registered with the SEC or a state?", "a": "Derivaty Co is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 310249." }, { "q": "How much does Derivaty Co manage?", "a": "Derivaty Co reports $28,000,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Derivaty Co's assets and staff changed since 2021?", "a": "In the Form ADV data for Derivaty Co: Regulatory assets under management: $39,000,000 in the October 2021 data and $28,000,000 in the October 2026 data, down 28%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Derivaty Co serve?", "a": "By number of clients on Form ADV Item 5.D: other investment advisers (3)." }, { "q": "Which custodians does Derivaty Co use?", "a": "Derivaty Co's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Derivaty Co 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/310249" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 39000000.0, "total_employees": 3, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 39000000.0, "total_employees": 2, "filing_date": "2022-03-16" }, { "period": "2023-10-01", "regulatory_assets_under_management": 30000000.0, "total_employees": 2, "filing_date": "2023-07-28" }, { "period": "2024-10-01", "regulatory_assets_under_management": 33000000.0, "total_employees": 2, "filing_date": "2024-03-21" }, { "period": "2025-10-01", "regulatory_assets_under_management": 30000000.0, "total_employees": 3, "filing_date": "2025-05-08" }, { "period": "2026-10-01", "regulatory_assets_under_management": 28000000.0, "total_employees": 3, "filing_date": "2026-03-31" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false }, { "name": "National Financial Services LLC", "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC", "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/derivaty-co-white-plains-ny-310249.md", "clients": [ { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 3, "fewer_than_5": false, "raum": 28000000.0 } ], "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/310249", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }