AdvisorCensus / Financial advisors / New York / New York / Exceed Advisory LLC
Exceed Advisory LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2014, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated February 19, 2026.
Quick answers
From the filingHow is Exceed Advisory LLC compensated?
On its Form ADV (Item 5.E, October 2026), Exceed Advisory LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
Where is Exceed Advisory LLC located?
Exceed Advisory LLC's principal office is in New York, NY, according to its Form ADV.
Is Exceed Advisory LLC registered with the SEC or a state?
Exceed Advisory LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 170403.
How much does Exceed Advisory LLC manage?
Exceed Advisory LLC reports $119,150,346 in regulatory assets under management in its Form ADV filing dated February 19, 2026 (100% discretionary).
How have Exceed Advisory LLC's assets and staff changed since 2021?
In the Form ADV data for Exceed Advisory LLC: Regulatory assets under management: $107,200,000 in the October 2021 data and $119,150,346 in the October 2026 data, up 11%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Exceed Advisory LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (61); high net worth individuals (30); investment companies (1).
Which custodians does Exceed Advisory LLC use?
Exceed Advisory LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Exceed Advisory LLC report any disciplinary disclosures?
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/170403
What changed in Exceed Advisory LLC's recent Form ADV filings?
In the March 2026 filing data: Regulatory assets under management went from $76,691,804 to $119,150,346 (+55%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated February 19, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$119,150,346 as of October 2026, filing dated February 19, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2014 (12 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $119,150,346 | 3 | February 19, 2026 |
| October 2025 | $76,691,804 | 2 | March 7, 2025 |
| October 2024 | $49,150,000 | 2 | March 27, 2024 |
| October 2023 | $40,990,000 | 2 | April 25, 2023 |
| October 2022 | $111,500,000 | 2 | July 16, 2022 |
| October 2021 | $107,200,000 | 2 | February 24, 2021 |
Regulatory assets under management: $107,200,000 in the October 2021 data and $119,150,346 in the October 2026 data, up 11%.
Total employees: 2 in October 2021 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- March 2026
- Regulatory assets under management went from $76,691,804 to $119,150,346 (+55%).
- February 2026
- Registered or notice-filed in NY, WI.
- January 2026
- No longer registered or notice-filed in IL, NY, WI.
- December 2025
- Registered or notice-filed in ID, WI.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Exceed Advisory LLC (CRD 170403): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/exceed-advisory-llc-new-york-ny-170403