# 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.

- CRD: 170403
- Filed as: EXCEED ADVISORY LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: February 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/170403
- AdvisorCensus page: https://advisorcensus.com/firm/exceed-advisory-llc-new-york-ny-170403

## Quick answers

**How 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). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $119,150,346
- Discretionary: $119,150,346
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 61 | $27,221,001 |
| High net worth individuals | 30 | $71,280,661 |
| Investment companies | 1 | $18,926,815 |
| Other investment advisers | Fewer than 5 | $1,721,869 |

### 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

### Firm details
- Registered since: 2014 (12 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: ID, NY, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- exceedinvestments.com
- LinkedIn @exceed-investments-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $107,200,000 | 2 | February 24, 2021 |
| October 2022 | $111,500,000 | 2 | July 16, 2022 |
| October 2023 | $40,990,000 | 2 | April 25, 2023 |
| October 2024 | $49,150,000 | 2 | March 27, 2024 |
| October 2025 | $76,691,804 | 2 | March 7, 2025 |
| October 2026 | $119,150,346 | 3 | February 19, 2026 |

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.

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Exceed Advisory LLC (CRD 170403): Form ADV filing data as of October 2026.