# J.H. Darbie & Co., Inc.

> J.H. Darbie & Co., Inc. is a state-registered investment advisory firm in New York, NY, registered since 2008, reporting under $25 million in regulatory assets under management in its Form ADV filing dated April 24, 2026.

- CRD: 43520
- Filed as: J.H. DARBIE & CO., INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: April 24, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/43520
- AdvisorCensus page: https://advisorcensus.com/firm/j-h-darbie-and-co-inc-new-york-ny-43520

## Quick answers

**How is J.H. Darbie & Co., Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), J.H. Darbie & Co., Inc. reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is J.H. Darbie & Co., Inc. located?**
J.H. Darbie & Co., Inc.'s principal office is in New York, NY, according to its Form ADV.

**Is J.H. Darbie & Co., Inc. registered with the SEC or a state?**
J.H. Darbie & Co., Inc. is a state-registered investment advisory firm, registered since 2008. Status as filed: APPROVED. CRD 43520.

**How much does J.H. Darbie & Co., Inc. manage?**
J.H. Darbie & Co., Inc. reports $6,146,829 in regulatory assets under management in its Form ADV filing dated April 24, 2026 (0% discretionary).

**What types of clients does J.H. Darbie & Co., Inc. serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (4).

**Does J.H. Darbie & Co., Inc. report any disciplinary disclosures?**
Reports 10 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters and 2 questions about civil court matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.E(2), 11.E(4), 11.G, 11.H(1)(a), 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/43520

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Other

### Regulatory assets under management (Item 5.F)
- Total: $6,146,829
- Discretionary: $0
- Non-discretionary: $6,146,829

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 4 | $6,146,829 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Other

### Firm details
- Registered since: 2008 (18 years)
- Employees: 5 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, NJ, NY
- Disclosures (Item 11): Reports 10 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.E(2): 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?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?
- 11.G: Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?
- 11.H(1)(a): In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?
- 11.H(1)(b): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/43520

### Websites listed on Form ADV (Item 1.I)
- jhdarbie.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. J.H. Darbie & Co., Inc. (CRD 43520): Form ADV filing data as of October 2026.