{ "crd_number": 145370, "slug": "vanderbilt-avenue-asset-management-llc-new-york-ny-145370", "primary_business_name": "VANDERBILT AVENUE ASSET MANAGEMENT LLC", "legal_name": "VANDERBILT AVENUE ASSET MANAGEMENT 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": "2008-02-01", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-03-24", "carried_forward": false, "raum_total": 241914564.0, "raum_discretionary": 195637939.0, "raum_non_discretionary": 46276625.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 6, "advisory_employees": 6, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "state_municipal": { "raum": 86321268.0, "count": null, "fewer_than_5": true }, "insurance_companies": { "raum": 24754845.0, "count": null, "fewer_than_5": true }, "pension_profit_sharing": { "raum": 10341905.0, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": 12222742.0, "count": 4 }, "corporations_other_businesses": { "raum": 108273804.0, "count": 6 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "other", "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [], "websites": [ "https://vaamllc.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/145370", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/vanderbilt-avenue-asset-management-llc-new-york-ny-145370", "display_name": "Vanderbilt Avenue Asset Management LLC", "summary": "Vanderbilt Avenue Asset Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2008, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 24, 2026.", "citation": "AdvisorCensus. Vanderbilt Avenue Asset Management LLC (CRD 145370): 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": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Other" ], "quick_answers": [ { "q": "How is Vanderbilt Avenue Asset Management LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Vanderbilt Avenue Asset Management 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 Vanderbilt Avenue Asset Management LLC located?", "a": "Vanderbilt Avenue Asset Management LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Vanderbilt Avenue Asset Management LLC registered with the SEC or a state?", "a": "Vanderbilt Avenue Asset Management LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 145370." }, { "q": "How much does Vanderbilt Avenue Asset Management LLC manage?", "a": "Vanderbilt Avenue Asset Management LLC reports $241,914,564 in regulatory assets under management in its Form ADV filing dated March 24, 2026 (81% discretionary)." }, { "q": "How have Vanderbilt Avenue Asset Management LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Vanderbilt Avenue Asset Management LLC: Regulatory assets under management: $570,429,947 in the October 2021 data and $241,914,564 in the October 2026 data, down 58%. Total employees: 7 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Vanderbilt Avenue Asset Management LLC serve?", "a": "By number of clients on Form ADV Item 5.D: corporations or other businesses not listed above (6); high net worth individuals (4)." }, { "q": "Which custodians does Vanderbilt Avenue Asset Management LLC use?", "a": "Vanderbilt Avenue Asset Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Principal Custody Solutions and US Bank as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Vanderbilt Avenue Asset Management LLC report any disciplinary disclosures?", "a": "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/145370" } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 570429947.0, "total_employees": 7, "filing_date": "2021-09-28" }, { "period": "2022-10-01", "regulatory_assets_under_management": 399298306.0, "total_employees": 8, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 307093436.0, "total_employees": 7, "filing_date": "2023-06-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": 242042048.0, "total_employees": 6, "filing_date": "2024-03-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": 246652752.0, "total_employees": 6, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 241914564.0, "total_employees": 6, "filing_date": "2026-03-24" } ], "recent_changes": [], "fees_from_brochure": null, "custodians": [ { "name": "Principal Custody Solutions", "name_as_filed": "PRINCIPAL CUSTODY SOLUTIONS", "affiliated": false }, { "name": "US Bank", "name_as_filed": "US BANK", "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/vanderbilt-avenue-asset-management-llc-new-york-ny-145370.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 4, "fewer_than_5": false, "raum": 12222742.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": 10341905.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": 86321268.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": 24754845.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 6, "fewer_than_5": false, "raum": 108273804.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/145370", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }