AdvisorCensus / Financial advisors / New York / New York / Sincerus Advisory
Sincerus Advisory is an SEC-registered investment advisory firm in New York, NY, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 9, 2026.
Quick answers
From the filingHow is Sincerus Advisory compensated?
On its Form ADV (Item 5.E, October 2026), Sincerus Advisory reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
Where is Sincerus Advisory located?
Sincerus Advisory's principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Sincerus Advisory registered with the SEC or a state?
Sincerus Advisory is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 300559.
How much does Sincerus Advisory manage?
Sincerus Advisory reports $221,968,163 in regulatory assets under management in its Form ADV filing dated March 9, 2026 (92% discretionary).
How have Sincerus Advisory's assets and staff changed since 2021?
In the Form ADV data for Sincerus Advisory: Regulatory assets under management: $73,015,000 in the October 2021 data and $221,968,163 in the October 2026 data, up 204%. Total employees: 3 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Sincerus Advisory serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (113); high net worth individuals (45); corporations or other businesses not listed above (7).
Which custodians does Sincerus Advisory use?
Sincerus Advisory's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Sincerus Advisory 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/300559
Does Sincerus Advisory state an account minimum?
Its Form ADV Part 2A brochure dated March 9, 2026 says: "We provide financial planning and portfolio management services to individuals, high net-worth individuals, and entities such as corporations, businesses, pension and profit-sharing plans, charitable organizations, and others. We do not require a minimum account size."
What changed in Sincerus Advisory's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $180,135,846 to $221,968,163 (+23%).
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
- Fixed fees (other than subscription fees)
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 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: None
The brochure's wording
We provide financial planning and portfolio management services to individuals, high net-worth individuals, and entities such as corporations, businesses, pension and profit-sharing plans, charitable organizations, and others. We do not require a minimum account size.
Minimum annual fee: $7,000
The brochure's wording
The minimum annual fee for any of our investment advisory services is $7,000.
As stated in the firm's Form ADV Part 2A brochure dated March 9, 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$221,968,163 as of October 2026, filing dated March 9, 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- 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)
Registration and firm details
Items 1, 2, 5- Legal name
- Sincerus Advisory, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2020 (6 years)
- Employees
- Total: 4. Performing investment advisory functions: 3.
- 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.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the April 2026 filing
- States registered or notice-filed
-
6 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
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $221,968,163 | 4 | March 9, 2026 |
| October 2025 | $180,135,846 | 3 | May 29, 2025 |
| October 2024 | $155,577,159 | 3 | February 29, 2024 |
| October 2023 | $120,619,325 | 4 | March 16, 2023 |
| October 2022 | $108,564,000 | 4 | March 8, 2022 |
| October 2021 | $73,015,000 | 3 | June 8, 2021 |
Regulatory assets under management: $73,015,000 in the October 2021 data and $221,968,163 in the October 2026 data, up 204%.
Total employees: 3 in October 2021 and 4 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $180,135,846 to $221,968,163 (+23%).
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. Sincerus Advisory (CRD 300559): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/sincerus-advisory-new-york-ny-300559