# Needham & Company, LLC

> Needham & Company, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2004, with no regulatory assets under management reported in its Form ADV filing dated March 19, 2026.

- CRD: 16360
- Filed as: NEEDHAM & COMPANY, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/16360
- AdvisorCensus page: https://advisorcensus.com/firm/needham-and-company-llc-new-york-ny-16360

## Quick answers

**How is Needham & Company, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Needham & Company, LLC reports these compensation arrangements: fixed fees (other than subscription fees); commissions; other.

**Where is Needham & Company, LLC located?**
Needham & Company, LLC's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F).

**Is Needham & Company, LLC registered with the SEC or a state?**
Needham & Company, LLC is an SEC-registered investment advisory firm, registered since 2004. Status as filed: Approved. CRD 16360.

**How have Needham & Company, LLC's assets and staff changed since 2021?**
In the Form ADV data for Needham & Company, LLC: Total employees: 154 in October 2021 and 195 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Needham & Company, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (20).

**Does Needham & Company, LLC report any disciplinary disclosures?**
Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.E(2) (self-regulatory organization's finding of a rule violation). 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/16360

**What changed in Needham & Company, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 51 to 57.

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)
- Commissions
- Other

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 20 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Other

### Firm details
- Registered since: 2004 (22 years)
- Employees: 195 total, 57 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, MA, MN, NY
- Disclosures (Item 11): Reports 4 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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.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?

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 SEC record: https://adviserinfo.sec.gov/firm/summary/16360

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Boston, MA
- Miami, FL
- Minnetonka, MN
- San Francisco, CA

### Websites listed on Form ADV (Item 1.I)
- needhamco.com
- LinkedIn @needham-&-company

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 154 | April 26, 2021 |
| October 2022 | Not reported | 170 | June 21, 2022 |
| October 2023 | Not reported | 170 | March 30, 2023 |
| October 2024 | Not reported | 170 | June 24, 2024 |
| October 2025 | Not reported | 185 | March 27, 2025 |
| October 2026 | Not reported | 195 | March 19, 2026 |

Total employees: 154 in October 2021 and 195 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 51 to 57.

### January 2026
- No longer registered or notice-filed in CO, CT, IL, MD, NJ, NV, PA, TX, WI.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Needham & Company, LLC (CRD 16360): Form ADV filing data as of October 2026.