{ "crd_number": 325421, "slug": "jefferies-investment-advisers-llc-new-york-ny-325421", "primary_business_name": "JEFFERIES INVESTMENT ADVISERS LLC", "legal_name": "JEFFERIES INVESTMENT ADVISERS 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": "2023-04-20", "years_registered": 3, "period": "2026-10-01", "filing_date": "2026-06-22", "carried_forward": false, "raum_total": 5154561141.0, "raum_discretionary": 4687668885.0, "raum_non_discretionary": 466892256.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 119, "advisory_employees": 107, "client_count_bucket": null, "clients_by_type": { "individuals": { "raum": 2074897017.0, "count": 1649 }, "pension_profit_sharing": { "raum": 21269272.0, "count": 30 }, "corporations_other_businesses": { "raum": 3055188432.0, "count": 340 }, "sovereign_wealth_foreign_official": { "raum": 3206420.0, "count": 1 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 1, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://jefferies.com", "https://jefferieswealthmanagement.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/325421", "disclosure_items": [ { "item": "11.E(4)", "question": "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?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/jefferies-investment-advisers-llc-new-york-ny-325421", "display_name": "Jefferies Investment Advisers LLC", "summary": "Jefferies Investment Advisers LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2023, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated June 22, 2026.", "citation": "AdvisorCensus. Jefferies Investment Advisers LLC (CRD 325421): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Jefferies Investment Advisers LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Jefferies Investment Advisers 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." }, { "q": "Where is Jefferies Investment Advisers LLC located?", "a": "Jefferies Investment Advisers LLC's principal office is in New York, NY, according to its Form ADV; the July 2026 filing also lists 6 other offices (Schedule D, Section 1.F)." }, { "q": "Is Jefferies Investment Advisers LLC registered with the SEC or a state?", "a": "Jefferies Investment Advisers LLC is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 325421." }, { "q": "How much does Jefferies Investment Advisers LLC manage?", "a": "Jefferies Investment Advisers LLC reports $5,154,561,141 in regulatory assets under management in its Form ADV filing dated June 22, 2026 (91% discretionary)." }, { "q": "How have Jefferies Investment Advisers LLC's assets and staff changed since 2023?", "a": "In the Form ADV data for Jefferies Investment Advisers LLC: Regulatory assets under management: $2,675,638,283 in the October 2023 data and $5,154,561,141 in the October 2026 data, up 93%. Total employees: 136 in October 2023 and 119 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Jefferies Investment Advisers LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,649); corporations or other businesses not listed above (340); pension and profit sharing plans (but not the plan participants or government pension plans) (30)." }, { "q": "Which custodians does Jefferies Investment Advisers LLC use?", "a": "Jefferies Investment Advisers LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Jefferies Investment Advisers LLC report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction). 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/325421" }, { "q": "What changed in Jefferies Investment Advisers LLC's recent Form ADV filings?", "a": "In the July 2026 filing data: Regulatory assets under management went from $3,422,551,910 to $5,154,561,141 (+51%)." } ], "filing_history": [ { "period": "2023-10-01", "regulatory_assets_under_management": 2675638283.0, "total_employees": 136, "filing_date": "2023-08-15" }, { "period": "2024-10-01", "regulatory_assets_under_management": 3100468310.0, "total_employees": 144, "filing_date": "2024-02-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 3402872417.0, "total_employees": 135, "filing_date": "2025-02-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5154561141.0, "total_employees": 119, "filing_date": "2026-06-22" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Regulatory assets under management went from $3,422,551,910 to $5,154,561,141 (+51%)." ] }, { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Employees performing advisory functions went from 100 to 107.", "No longer lists an office in Atlanta, GA." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Pershing LLC", "name_as_filed": "PERSHING 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/jefferies-investment-advisers-llc-new-york-ny-325421.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1649, "fewer_than_5": false, "raum": 2074897017.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 30, "fewer_than_5": false, "raum": 21269272.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 1, "fewer_than_5": false, "raum": 3206420.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 340, "fewer_than_5": false, "raum": 3055188432.0 } ], "disclosure_line": "Reports 1 disclosure item 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/325421", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }