{ "crd_number": 7897, "slug": "instinet-llc-new-york-ny-7897", "primary_business_name": "INSTINET, LLC", "legal_name": "INSTINET, LLC", "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": "2016-10-26", "years_registered": 9, "period": "2026-10-01", "filing_date": "2026-06-23", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 87, "advisory_employees": 0, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "banking_thrift": { "raum": 0.0, "count": null }, "state_municipal": { "raum": 0.0, "count": null }, "pension_profit_sharing": { "raum": 0.0, "count": null }, "other_investment_advisers": { "raum": null, "count": 0, "fewer_than_5": true }, "corporations_other_businesses": { "raum": 0.0, "count": null } }, "compensation_types": [ "other" ], "advisory_activities": [ "other" ], "wrap_fee_participant": false, "disclosure_yes_count": 9, "states_registered": [], "websites": [ "https://instinet.com", "https://linkedin.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7897", "disclosure_items": [ { "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?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.H(1)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/instinet-llc-new-york-ny-7897", "display_name": "Instinet, LLC", "summary": "Instinet, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2016, with no regulatory assets under management reported in its Form ADV filing dated June 23, 2026.", "citation": "AdvisorCensus. Instinet, LLC (CRD 7897): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Other" ], "advisory_activity_labels": [ "Other" ], "quick_answers": [ { "q": "How is Instinet, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Instinet, LLC reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Instinet, LLC located?", "a": "Instinet, LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Instinet, LLC registered with the SEC or a state?", "a": "Instinet, LLC is an SEC-registered investment advisory firm, registered since 2016. Status as filed: Approved. CRD 7897." }, { "q": "How have Instinet, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Instinet, LLC: Total employees: 118 in October 2021 and 87 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Does Instinet, LLC report any disciplinary disclosures?", "a": "Reports 9 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters and 1 question about civil court matters (11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.E(2), 11.H(1)(b)). 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/7897" }, { "q": "What changed in Instinet, LLC's recent Form ADV filings?", "a": "In the February 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": 118, "filing_date": "2021-06-29" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": 88, "filing_date": "2022-06-23" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": 93, "filing_date": "2023-07-19" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": 334, "filing_date": "2024-06-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": 291, "filing_date": "2025-06-20" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": 87, "filing_date": "2026-06-23" } ], "recent_changes": [ { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/instinet-llc-new-york-ny-7897.md", "clients": [ { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": null, "fewer_than_5": false, "raum": 0.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": false, "raum": 0.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": false, "raum": 0.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": true, "raum": null }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 9 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/7897", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }