AdvisorCensus / Financial advisors / New York / New York / Omen Advisory, LLC
Omen Advisory, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2025, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 23, 2026.
Quick answers
From the filingHow is Omen Advisory, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Omen Advisory, LLC reports these compensation arrangements: a percentage of assets under its management; subscription fees (for a newsletter or periodical).
How much does Omen Advisory, LLC charge?
Its Form ADV Part 2A brochure dated March 23, 2026 states: Flat fee: $4 a month. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is Omen Advisory, LLC located?
Omen Advisory, LLC's principal office is in New York, NY, according to its Form ADV.
Is Omen Advisory, LLC registered with the SEC or a state?
Omen Advisory, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 337532.
How much does Omen Advisory, LLC manage?
Omen Advisory, LLC reports $36,000 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (0% discretionary).
What types of clients does Omen Advisory, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (94).
Which custodians does Omen Advisory, LLC use?
Omen Advisory, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Alpaca Securities LLC as a custodian holding 10% or more of its separately managed account assets.
Does Omen 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/337532
Does Omen Advisory, LLC state an account minimum?
Its Form ADV Part 2A brochure dated March 23, 2026 says: "We generally have an account minimum of $10."
What changed in Omen Advisory, LLC's recent Form ADV filings?
In the March 2026 filing data: Registered or notice-filed in NY. Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Subscription fees (for a newsletter or periodical)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: $10
The brochure's wording
We generally have an account minimum of $10.
Flat fee: $4 a month
The brochure's wording
Flat Fee – $4.00 flat monthly flat fee (“Flat Fee”) if the client’s average portfolio value over the previous trailing 30 calendar days is $15,000 or less.
As stated in the firm's Form ADV Part 2A brochure dated March 23, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$36,000 as of October 2026, filing dated March 23, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2025 (0 years)
- Employees
- Total: 2. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- March 2026
- Registered or notice-filed in NY.
- Updated its list of owners and control persons (Schedule A).
- January 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Omen Advisory, LLC (CRD 337532): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/omen-advisory-llc-new-york-ny-337532