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Wealth Management Firms (RIAs) in New York

361 wealth management firms are on this list. Of those that report regulatory assets on Form ADV, Morgan Stanley is the largest: $1,961.9 billion through Morgan Stanley Smith Barney LLC (filed ).

UBS Financial Services follows with $915.8 billion. The 343 advisers counted report $4,356.3 billion together; the ten largest hold 89% of it, and half report less than $369 million.

Updated . Rechecked quarterly; next check . Figures read , as filed to .

Where the $4,356.3BN sitsThe 343 firms counted, by size. The bar is each size band's share of the combined dollars.
  1. $25BN and over91%13 firms
  2. $10BN to $25BN3%8 firms
  3. $5BN to $10BN1%7 firms
  4. $1BN to $5BN3%58 firms
  5. $500MM to $1BN1%54 firms
  6. Under $500MM1%203 firms

Latest Form ADV of each, filed Jan 2026 to Oct 2026. Read ; sources at the end of the page.

Wealth management firms listedList of October 2026; 342 are wealth managers and 19 are wealth managers with a broker-dealer
361
Combined assets343 counted; as filed to Oct 2026
$4,356.3BN
Largest: Morgan StanleyAs filed
$1,961.9BN
Median firmHalf of the 343 report less
$369MM
Held by the ten largestOf the $4,356.3BN combined
89%

Morgan Stanley, UBS Financial Services and J.P. Morgan Securities lead the New York wealth management firms by assets

The twenty largest by regulatory assets on their latest Form ADV. Together they report $4,089.7BN, 94% of the $4,356.3BN the 343 counted report.

  1. 1

    Morgan Stanley

    Wealth manager with a broker-dealer, Purchase, NY

    $1,961.9BNRegulatory assets, Sep 2026

    63% other individuals, 27% high net worth, 4% charities

    Individual clients
    2,644,338
  2. 2

    UBS Financial Services

    Wealth manager with a broker-dealer, Weehawken, NJ

    $915.8BNRegulatory assets, Aug 2026

    78% high net worth, 10% businesses, 5% other individuals

    Individual clients
    1,098,059
  3. 3

    J.P. Morgan Securities

    Wealth manager with a broker-dealer, New York, NY

    $429.7BNRegulatory assets, Sep 2026

    58% high net worth, 33% other individuals, 6% businesses

    Individual clients
    1,234,172
  4. 4

    RBC Capital Markets

    Wealth manager with a broker-dealer, New York, NY

    $310.4BNRegulatory assets, Sep 2026

    59% other individuals, 32% high net worth, 4% businesses

    Individual clients
    275,938
  5. 5

    Betterment

    Wealth manager, New York, NY

    $69.5BNRegulatory assets, Jul 2026

    67% other individuals, 25% high net worth, 8% pension plans

    Individual clients
    1,016,879
  6. 6

    Citigroup Global Markets

    Wealth manager with a broker-dealer, New York, NY

    $56.0BNRegulatory assets, Sep 2026

    57% high net worth, 17% other individuals, 12% businesses

    Individual clients
    58,096
  7. 7

    Equitable Advisors

    Wealth manager with a broker-dealer, New York, NY

    $47.3BNRegulatory assets, Sep 2026

    76% high net worth, 21% other individuals, 2% businesses

    Individual clients
    74,960
  8. 8

    First Manhattan Co

    Wealth manager, New York, NY

    $38.1BNRegulatory assets, Aug 2026

    87% high net worth, 4% charities, 4% pension plans

    Individual clients
    6,080
    Private funds
    9
  9. 9

    Oppenheimer & Co

    Wealth manager with a broker-dealer, New York, NY

    $36.7BNRegulatory assets, Sep 2026

    46% other individuals, 30% other, 16% high net worth

    Individual clients
    37,047
  10. 10

    Eagle Strategies

    Wealth manager, New York, NY

    $32.0BNRegulatory assets, Jul 2026

    53% other individuals, 44% high net worth, 2% businesses

    Individual clients
    132,722
  11. 11

    Silvercrest Asset Management Group

    Wealth manager, New York, NY

    $28.3BNRegulatory assets, Mar 2026

    67% high net worth, 11% pension plans, 11% funds (1940 act)

    Individual clients
    1,081
    Private funds
    12
  12. 12

    Arax Advisory Partners

    Wealth manager, New York, NY

    $26.5BNRegulatory assets, Aug 2026

    80% high net worth, 11% other individuals, 5% businesses

    Individual clients
    15,155
    Private funds
    17
  13. 13

    Summit Financial

    Wealth manager, Parsippany, NJ

    $26.3BNRegulatory assets, Sep 2026

    57% high net worth, 32% other individuals, 11% pension plans

    Individual clients
    17,809
  14. 14

    Park Avenue Securities

    Wealth manager with a broker-dealer, New York, NY

    $19.6BNRegulatory assets, Sep 2026

    48% high net worth, 47% other individuals, 2% businesses

    Individual clients
    80,267
  15. 15

    Modera Wealth Management

    Wealth manager, Westwood, NJ

    $17.7BNRegulatory assets, Sep 2026

    86% high net worth, 6% other individuals, 4% charities

    Individual clients
    5,918
  16. 16

    Citizens Private Wealth

    Wealth manager, Tarrytown, NY

    $16.6BNRegulatory assets, Jul 2026

    94% high net worth, 5% businesses

    Individual clients
    2,465
  17. 17

    Evercore Wealth Management

    Wealth manager, New York, NY

    $15.5BNRegulatory assets, Mar 2026

    89% high net worth, 3% funds (1940 act), 2% private funds

    Individual clients
    731
    Private funds
    1
  18. 18

    Onepoint BFG Wealth Partners

    Wealth manager, Parsippany, NJ

    $15.1BNRegulatory assets, Sep 2026

    82% high net worth, 13% other individuals, 4% pension plans

    Individual clients
    8,458
  19. 19

    Circle Wealth Management

    Wealth manager, Summit, NJ

    $14.1BNRegulatory assets, Apr 2026

    93% high net worth, 7% charities

    Individual clients
    349
  20. 20

    Williams Jones Wealth Management

    Wealth manager, New York, NY

    $12.5BNRegulatory assets, Apr 2026

    88% high net worth, 8% businesses, 2% charities

    Individual clients
    1,517
    Private funds
    8

Regulatory assets each adviser reported in its latest Form ADV. Each pin opens the filing behind the figure; the ranking rule and sources are at the end of the page. Read .

One firm holds 45% of the assets

How the 343 firms counted spread by size: most are small, the dollars sit at the top.

Every firm on one scaleEach dot is one firm's regulatory assets in its latest filing. Every dot is one adviser. Dollar scale is logarithmic.
Assets of each of the 343 firms counted, log scaleEach dot is one adviser and links to its row. Morgan Stanley $1,961.9BN; UBS Financial Services $915.8BN; J.P. Morgan Securities $429.7BN; median $369MM.$100MM$1BN$10BN$100BN$1TNMorgan Stanley: $1,961.9BNUBS Financial Services: $915.8BNJ.P. Morgan Securities: $429.7BNRBC Capital Markets: $310.4BNBetterment: $69.5BNCitigroup Global Markets: $56.0BNEquitable Advisors: $47.3BNFirst Manhattan Co: $38.1BNOppenheimer & Co: $36.7BNEagle Strategies: $32.0BNSilvercrest Asset Management Group: $28.3BNArax Advisory Partners: $26.5BNSummit Financial: $26.3BNPark Avenue Securities: $19.6BNModera Wealth Management: $17.7BNCitizens Private Wealth: $16.6BNEvercore Wealth Management: $15.5BNOnepoint BFG Wealth Partners: $15.1BNCircle Wealth Management: $14.1BNWilliams Jones Wealth Management: $12.5BNTocqueville Asset Management: $10.2BNRitholtz Wealth Management: $9.4BNSnowden Capital Advisors: $8.9BNTD Private Client Wealth: $8.6BNIngalls Investment Management: $7.8BNCannell & Spears: $7.0BNJ. Safra Asset Management Corporation: $6.3BNKlingman and Associates: $5.7BNStash: $4.9BNCompound Planning: $4.8BNKlingenstein Fields Advisors: $4.7BNBeacon Trust: $4.4BNSax Wealth Advisors: $3.6BNMeyer Handelman Company: $3.2BNLeo Wealth: $3.2BNTranscend Capital Advisors: $2.9BNRMR Wealth Builders: $2.9BNCapital Counsel: $2.9BNCordoba Advisory Partners: $2.8BNCFS Investment Advisory Services: $2.7BNValley Wealth Managers: $2.7BNRock Harbor Partners: $2.7BNThe Portfolio Strategy Group: $2.6BNBridgewater Advisors: $2.6BNShufro, Rose & Co.: $2.5BNWithum Wealth Management: $2.3BNMagnus Financial Group: $2.3BNTLG Advisors: $2.3BNTraphagen Financial Group: $2.3BNUnited Asset Strategies: $2.2BNNext Capital Management: $2.1BNVanderbilt Advisory Services: $2.1BNThe Wealth Alliance: $2.1BNTortoise Investment Management: $2.1BNMaridea Wealth Management: $2.0BNAegis Capital: $1.8BNCitrin Cooperman Wealth Management: $1.7BNStrategic Family Wealth Counselors: $1.7BNPersonal CFO Solutions: $1.6BNConsolidated Portfolio Review: $1.6BNSeacrest Wealth Management: $1.5BNKimelman & Baird: $1.5BNFusion Family Wealth: $1.4BNRevolve Wealth Partners: $1.4BNGreenline Partners: $1.4BNThe Pinnacle Financial Group: $1.4BNOnyx Bridge Wealth Group: $1.4BNNext Level Private: $1.4BNHollow Brook Wealth Management: $1.4BNPayne Capital Management: $1.3BNChemistry Wealth Management: $1.3BNOpal Wealth Advisors: $1.2BNLegacy Edge Advisors: $1.2BNPremier Path Wealth Partners: $1.2BNSeasons of Advice Wealth Management: $1.2BNWiss Private Client Advisors: $1.2BNSignet Financial Management: $1.2BNEllevest: $1.1BNOverbrook Management Corporation: $1.1BNLighthouse Financial Advisors: $1.1BNTitan: $1.1BNNPA Asset Management: $1.1BNMatauro: $1.0BNGlen Eagle Advisors: $1.0BNBreakwater Capital Group: $1.0BNOliver Luxxe Assets: $1.0BNSatovsky Asset Management: $975MMCornerstone Planning Group: $952MMEstabrook Capital Management: $933MMFrisch Financial Group: $932MMNavis Wealth Advisors: $902MMKey Client Fiduciary Advisors: $896MMDrucker Wealth: $891MMAtlas Private Wealth Advisors: $860MMEdge Wealth Management: $827MMFortis Group Advisors: $822MMShulman Demeo Asset Management: $815MMFrancis Financial: $803MMParisi Gray Wealth Management: $796MMMcRae Capital Management: $795MMFlagstar Securities: $784MMFlynn Zito Capital Management: $774MMSeabridge Investment Advisors: $771MMHennion & Walsh Asset Management: $769MMCompass Advisors: $767MMPerennial: $762MMSterling Financial Planning: $761MMTilson Financial Group: $751MMRockline Wealth Management: $750MMEmpire Financial Management Company: $706MMCovenant Asset Management: $693MMEast End Financial Group: $689MMGarden State Investment Advisory Services: $674MMPrestige Wealth Management Group: $666MMThe Genwealth Group: $661MMWeber Asset Management: $652MM5C Capital Management: $648MMChatham Wealth Management: $643MMRegency Wealth Management: $643MMHighland Financial Advisors: $640MMVision Retirement: $634MMClear Wave Wealth Management: $617MMVirtus Wealth Solutions: $595MMAble Wealth Management: $580MMOxler Private Wealth: $578MMEquinum: $566MMShikiar Asset Management: $564MMBrooklyn FI: $563MMPremier Wealth Advisors: $555MMHeller Wealth Management: $554MMPalumbo Wealth Management: $543MMShorehaven Wealth Partners: $542MMNCM Capital Management: $539MMAccess Wealth: $539MMMezzasalma Advisors: $534MMAlliance Wealth Management Group: $517MMMadison Advisory Services: $510MMMaltin Wealth Management: $507MMAccretive Wealth Partners: $505MMBlack Coral Financial Advisors: $504MMCherrydale Wealth Management: $495MMSamalin Wealth: $491MMAsset Advisory Group: $480MMIDB Lido Wealth: $478MMSpielberger & Brooks: $474MMSaiph Capital: $459MMMullooly Asset Management: $456MMCove Private Wealth: $455MMSicart Associates: $455MMSignature Wealth Management Partners: $454MMIFC Personal Money Managers: $451MMOsprey Private Wealth: $448MMLandmark Wealth Management: $442MMFinancial Asset Management: $436MMPrecision Financial Services: $436MMProspect Financial Services: $431MMMWM Group: $431MMOmni 360 Wealth: $426MMBlackdiamond Wealth Management: $424MMRidgewood Investments: $419MMMomentum Advisors: $415MMSettanni Financial: $397MMWealth Quarterback: $391MMHillcrest Wealth Advisors - NY: $391MMGreen Ridge Wealth Planning: $390MMRedwood Financial Planning: $389MMCollaborative Capital Advisors: $388MMUpstart Wealth Management: $386MMLongview Financial Advisors: $384MMArcadia Wealth Management: $384MMAurora Private Wealth: $374MMBaron Financial Group: $369MMPoint Windward Advisors: $359MMSykon Capital: $350MMOakbourne Advisors: $348MMUnited Financial Planning Group: $347MMSmallwood Wealth Management: $339MMInvestment Partners Asset Management: $333MMShore Point Advisors: $328MMFinancial Decisions: $328MMHurley Capital: $326MMForte Asset Management: $322MMMeadowbrook Advisors: $321MMLantern Wealth Advisors: $320MMSalvus Wealth Management: $316MMTenon Financial: $316MMMerit Financial Partners: $308MMBeckerman Wealth: $303MMRetirable: $301MMSummit Place Financial Advisors: $300MMVeneroso Wealth Management: $299MMStern Capital Management: $298MMGolden Bay Advisors: $296MMPelkonen and Associates: $293MMZoe Financial: $283MMSilverberg Bernstein Capital Management: $283MMTandem Capital Management: $280MMAmerican Financial & Tax Strategies: $279MMBuckman Advisory Group: $277MMWilmington Capital Securities: $277MMNestegg Advisors: $273MMFinancial Futures: $270MMAstra Wealth Partners: $268MMNerdwallet Wealth Partners: $263MMRevel Wealth Management: $259MMWestco Advisory Services: $254MMClear Point Advisors: $253MMCorrado Advisors: $253MMTalisman Wealth Advisors: $251MMBPP Wealth Solutions: $247MMGlobal Wealth Management: $246MMBlue Spark Capital Advisors: $243MMBrewster Financial Planning: $240MMLeicht Financial Planning and Wealth Management: $237MMHeritage Financial Counselors: $236MMShelter Rock Management: $232MMArch Global Advisors: $231MMAljen Asset Management: $230MMGrantvest Financial Group: $230MMLionshead Wealth Management: $230MMBeacon Financial Advisors: $228MMMagnolia Capital Management: $228MMPodell Financial Group: $228MMPrato Capital Management: $225MMCapital Preservation Partners: $222MMSincerus Advisory: $222MMForteris Wealth Management: $219MMVaughan and Company Securities: $219MM4thought Financial Group: $214MMLocker Financial Services: $214MMSacks & Associates: $213MMBrixton Capital Wealth Advisors: $212MMBravias Financial: $212MMGuerra Pan Advisors: $210MMCultivating Wealth: $210MMADC Wealth Management: $206MMHFH Planning: $206MMMerkkuri Wealth Advisors: $204MMNew Horizons Wealth Management: $203MMParadigm Wealth Advisory: $201MMTranquilli Financial Advisor: $199MMBautis Financial: $197MMUnified Retirement Planning Group: $197MMThe Bendix Financial Group: $197MMTepp Wealth Management: $196MMHigh Point Wealth Management: $193MMQuantstreet Capital: $193MMCadia Private Client: $193MMGuardian Wealth Partners: $191MMLiftpoint Family Wealth Advisors: $188MMInfiniti Wealth Management: $187MMAhara Advisors: $185MMEmissary Wealth: $185MMPCB Capital: $185MMOFC Wealth Management: $183MMPrivate Client Asset Management: $181MMPereon Wealth: $181MMRoxbury Financial: $180MMAJF Capital Management: $179MMInvestment Insight Wealth Management: $178MMSFI Advisors: $176MMPenbrook Management: $175MMDavidov Wealth Group: $174MMMurphy & Mullick Capital Management: $174MMZynergy Retirement Planning: $173MMDavidson Wealth Management: $172MMGenesis Financial Group: $171MMHegarty Advisors: $171MMVilga Financial Planning: $169MMStolzer Rothschild Levy: $166MMRDM Capital Associates: $164MMTaurus Financial: $162MMFifth Set Private Wealth Management: $160MMKensington Financial Advisors: $160MMAltar Rock: $159MMClarus Group: $158MMPrism Planning and Solutions Group: $157MMPersonal Financial Solutions: $156MMDiversified Planning Strategies Advisors: $154MMManhattan Wealth Management Group: $153MMEast Coast Wealth Management: $153MMLivian & Co.: $153MMShapiro Financial Security Group: $153MMStembrook Asset Management: $148MMChelsea Advisory Services: $147MMGCI Financial Group: $145MMPrivate Client Group Asset Management: $143MMBlank Equity Management: $143MMVCP Financial: $143MMHeydorn Stone Capital Management: $142MMIntegrated Financial Consulting: $141MMClarity Investments + Planning: $141MMMJB Asset Management: $141MMOmega Capital Management: $140MMImperity Wealth Alliance: $140MMGarrison Bradford & Associates: $138MMMilagre Wealth Management: $137MMRe-Envision Wealth: $137MMBH Asset Management: $136MMHudson Oak Wealth Advisory: $134MMLifecapital Partners: $133MMThe Hajdari Group: $133MMSafran Wealth Advisors: $133MMSchonfeld Wealth Management: $133MMLumida Wealth Management: $133MMGeremia Financial Services: $132MMTeplitz Financial Group: $132MMStawnychy Financial Services: $131MMArbus Capital Management: $130MMWise Wealth Management: $130MMHudson Heritage Capital Management: $129MMIndfin: $128MMBone Fide Wealth: $127MMEagle's Crest Advisors: $126MMRilex Capital: $124MMBrooklawn Capital Advisors: $124MMJbglobal.com: $121MMThe Wealth Boutique: $121MMAEM Asset Management: $118MMCiro Capital: $117MMNPM Consulting: $116MMFinhabits Advisors: $116MMKutz and Company: $115MMAtwob: $114MMCompass Private Wealth Group: $113MMKoehler Asset Management: $111MMFox Financial Services: $111MMCornerstone Professional Advisor Services: $110MMMeadowbrook Wealth Management: $110MMGarden State Retirement Specialists: $109MMAspire Advisors: $109MMFedermann Financial Advisors: $108MMLaidlaw Wealth Management: $108MMSchlosser Financial Services: $108MMCastle Financial & Retirement Planning Associates: $108MM1230 Advisors: $106MMPolero Ice Advisers: $106MMMarkiz Wealth Management: $106MMInstitutional Investment Advisors: $105MMMD Wealth Advisors: $105MMFour Corners Financial: $105MMRGA Investment Advisors: $101MMBrave Eagle Wealth Management: $101MMMorgan Stanley $1,961.9BNUBS Financial Services $915.8BNJ.P. Morgan Securities $429.7BNMedian $369MMAssets of each of the 343 firms counted, log scaleEach dot is one adviser and links to its row. Morgan Stanley $1,961.9BN; UBS Financial Services $915.8BN; J.P. Morgan Securities $429.7BN; median $369MM.$1BN$100BNMorgan Stanley $1,961.9BNMedian $369MM

One dot per firm counted; 18 firms with a main office outside New York, a second row for the same adviser or only fund assets left out. Read .

The 343 firms, by size
Under $500MM2031%$46.7BN
$500MM to $1BN541%$37.4BN
$1BN to $5BN583%$118.7BN
$5BN to $10BN71%$53.6BN
$10BN to $25BN83%$121.3BN
$25BN and over1391%$3,978.6BN

Assets each reported in its latest filing; shares are of the $4,356.3BN combined, one row per firm. Read .

45%

of the assets reported sits with one firm, Morgan Stanley. The five largest hold 85%; 257 of 343 report under $1 billion.

45%Largest40%Next 415%Other 338
Who the 361 are
  1. Wealth managers342
  2. Wealth managers with a broker-dealer19

Kind of each, from its Form ADV (Items 5.G and 6.A), October 2026.

Whose money it isShare of the 343 advisers' assets by type of client
  1. High net worth47%
  2. Other individuals41%
  3. Businesses4%
  4. Pension plans3%
  5. Charities3%
  6. Other0%

Client types each adviser reports with its assets, latest filing; sums of filed figures.

Leaders beyond the ranking

Figures the main ranking does not compare: the most individual clients, the most high net worth clients, most private funds.

The most individual clientsIndividuals each firm advises, high net worth and other, on its latest Form ADV (Item 5.D).
RankNameFigure
1Morgan Stanley2,644,338Sep 2026
2J.P. Morgan Securities1,234,172Sep 2026
3Stash1,138,270Sep 2026
4UBS Financial Services1,098,059Aug 2026
5Betterment1,016,879Jul 2026
6RBC Capital Markets275,938Sep 2026
7Eagle Strategies132,722Jul 2026
8Park Avenue Securities80,267Sep 2026

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

The most high net worth clientsHigh net worth individuals each firm advises, on its latest Form ADV (Item 5.D).
RankNameFigure
1UBS Financial Services853,775Aug 2026
2J.P. Morgan Securities356,866Sep 2026
3Morgan Stanley43,631Sep 2026
4Equitable Advisors35,521Sep 2026
5Eagle Strategies27,125Jul 2026
6Betterment24,685Jul 2026
7Citigroup Global Markets23,441Sep 2026
8Park Avenue Securities17,261Sep 2026

Counts of clients as filed; a client is an account holder the adviser counts, not a household.

Most private fundsPrivate funds each firm advises, on its latest Form ADV (Schedule D).
RankNameFigure
1Aegis Capital32Aug 2026
2Arax Advisory Partners17Aug 2026
3Klingenstein Fields Advisors12Jul 2026
4Silvercrest Asset Management Group12Mar 2026
5Transcend Capital Advisors12Jul 2026
6First Manhattan Co9Aug 2026
7Lumida Wealth Management8Mar 2026
8Williams Jones Wealth Management8Apr 2026

The list is public. The warm path is not. Schedule a conversation

All 361 wealth management firms

A to Z, with each firm's regulatory assets, its clients, the share of its assets held for individuals and its private funds, each with a pin to its Form ADV.

Showing all 361 firms

Kind
Where
Size
Order
Wealth Management Firms (RIAs) in New York 361 firms, A to Z
OfficeAssetsBarClientsIndividualsPrivate funds
1230 Advisors
Wealth manager, Pound Ridge, NY.
Detail and sources for 1230 Advisors

Form ADV of 1230 Advisors, LLC (CRD 312504), SEC registered adviser, filed , main office Pound Ridge, NY: regulatory assets $106MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 30 individuals, 18 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$106MMJan 202630100%
4thought Financial Group
Wealth manager, Syosset, NY.
Detail and sources for 4thought Financial Group

Form ADV of 4thought Financial Group Inc. (CRD 162997), SEC registered adviser, filed , main office Syosset, NY: regulatory assets $214MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and publications. Clients (Item 5.D): 297 individuals, 0 of them high net worth; individuals hold 80% of its regulatory assets.

Files: SEC Form ADV.

$214MMJan 202634480%
5C Capital Management
Wealth manager, Woodcliff Lake, NJ.
Detail and sources for 5C Capital Management

Form ADV of 5C Capital Management, LLC (CRD 284213), SEC registered adviser, filed , main office Woodcliff Lake, NJ: regulatory assets $648MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 511 individuals, 166 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$648MMMar 202655297%
Able Wealth Management
Wealth manager, Toms River, NJ.
Detail and sources for Able Wealth Management

Form ADV of Able Wealth Management LLC (CRD 298085), SEC registered adviser, filed , main office Toms River, NJ: regulatory assets $580MM; 1 private fund, $0K gross; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 937 individuals, 195 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$580MMJun 20261,03084%1
Access Wealth
Wealth manager, East Hanover, NJ.
Detail and sources for Access Wealth

Form ADV of Access Wealth Planning, LLC (CRD 112973), SEC registered adviser, filed , main office East Hanover, NJ: regulatory assets $539MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 363 individuals, 121 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$539MMMar 202637398%
Accretive Wealth Partners
Wealth manager, Parsippany, NJ.
Detail and sources for Accretive Wealth Partners

Form ADV of Accretive Wealth Partners, LLC (CRD 299544), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $505MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 204 individuals, 142 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$505MMJun 202620496%
ADC Wealth Management
Wealth manager, Massapequa, NY.
Detail and sources for ADC Wealth Management

Form ADV of ADC Wealth Management, LLC (CRD 159083), SEC registered adviser, filed , main office Massapequa, NY: regulatory assets $206MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 90 individuals, 31 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$206MMFeb 20269396%
Aegis Capital
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for Aegis Capital

Form ADV of Aegis Capital Corp. (CRD 15007), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.8BN; 32 private funds, $269MM gross; 260 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 3,030 individuals, 1,116 of them high net worth; individuals hold 87% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$1.8BNAug 20263,08387%32
AEM Asset Management
Wealth manager, Somerset, NJ.
Detail and sources for AEM Asset Management

Form ADV of AEM Asset Management, LLC (CRD 310360), SEC registered adviser, filed , main office Somerset, NJ: regulatory assets $118MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 44 individuals, 22 of them high net worth; individuals hold 88% of its regulatory assets.

Files: SEC Form ADV.

$118MMMar 20264588%
Ahara Advisors
Wealth manager, Jersey City, NJ.
Detail and sources for Ahara Advisors

Form ADV of Ahara Advisors LLC (CRD 312385), SEC registered adviser, filed , main office Jersey City, NJ: regulatory assets $185MM; 1 private fund, $2.9MM gross; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 55 individuals, 55 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$185MMAug 202655100%1
AJF Capital Management
Wealth manager, New York, NY.
Detail and sources for AJF Capital Management

Form ADV of AJF Capital Management, Inc. (CRD 126414), SEC registered adviser, filed , main office New York, NY: regulatory assets $179MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 280 individuals, 97 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$179MMJul 202631397%
Aljen Asset Management
Wealth manager, Cedar Knolls, NJ.
Detail and sources for Aljen Asset Management

Form ADV of Aljen Asset Management LLC (CRD 128962), SEC registered adviser, filed , main office Cedar Knolls, NJ: regulatory assets $230MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and other services. Clients (Item 5.D): 397 individuals, 93 of them high net worth; individuals hold 71% of its regulatory assets.

Files: SEC Form ADV.

$230MMApr 202645671%
Alliance Wealth Management Group
Wealth manager, Flemington, NJ.
Detail and sources for Alliance Wealth Management Group

Form ADV of Alliance Wealth Management Group, LLC (CRD 169573), SEC registered adviser, filed , main office Flemington, NJ: regulatory assets $517MM; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Alliance Wealth Management Group, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 447 individuals, 137 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$517MMFeb 2026447100%
Altar Rock
Wealth manager, New York, NY.
Detail and sources for Altar Rock

Form ADV of Altar Rock LLC (CRD 326868), SEC registered adviser, filed : regulatory assets $159MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 26 individuals, 23 of them high net worth; individuals hold 99% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$159MMSep 20262799%
Altfest Personal Wealth Management
Wealth manager, New York, NY. Main office New York, NY; not in the totals.
Detail and sources for Altfest Personal Wealth Management

Form ADV of L.J. Altfest & Co., Inc. (CRD 110130), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.8BN; 1 private fund, $13MM gross; 42 employees.

Tied to this row by the CRD the list cites from the filing.

Main office New York, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and publications. Clients (Item 5.D): 686 individuals, 431 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$1.8BNMar 202669598%1
American Financial & Tax Strategies
Wealth manager, New York, NY.
Detail and sources for American Financial & Tax Strategies

Form ADV of American Financial & Tax Strategies, Inc. (CRD 115559), SEC registered adviser, filed , main office New York, NY: regulatory assets $279MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 185 individuals, 80 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$279MMJan 2026191100%
Andrew Garrett, Inc.
Wealth manager with a broker-dealer, New York, NY. Main office New York, NY; not in the totals.
Detail and sources for Andrew Garrett, Inc.

Form ADV of Andrew Garrett, Inc. (CRD 29931), SEC registered adviser, filed , main office New York, NY: regulatory assets $521MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Main office New York, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 1,118 individuals, 504 of them high net worth; individuals hold 84% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$521MMApr 20261,12284%
Arax Advisory Partners
Wealth manager, New York, NY.
Detail and sources for Arax Advisory Partners

Form ADV of Arax Advisory Partners, LLC (CRD 133535), SEC registered adviser, filed , main office New York, NY: regulatory assets $26.5BN; 17 private funds, $571MM gross; 361 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Arax Advisory Partners, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 15,155 individuals, 4,949 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$26.5BNAug 202615,66292%17
Arbus Capital Management
Wealth manager, New York, NY.
Detail and sources for Arbus Capital Management

Form ADV of Arbus Capital Management, LLC (CRD 148709), SEC registered adviser, filed : regulatory assets $130MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 30 individuals, 19 of them high net worth; individuals hold 72% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$130MMJun 20263072%
Arcadia Wealth Management
Wealth manager, Smithtown, NY.
Detail and sources for Arcadia Wealth Management

Form ADV of Arcadia Wealth Management, Inc. (CRD 165504), SEC registered adviser, filed , main office Smithtown, NY: regulatory assets $384MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Arcadia Wealth Management, LLC (CRD 284925), registered adviser, filed , Manchester, NH.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 275 individuals, 113 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$384MMMar 2026275100%
Arch Global Advisors
Wealth manager, New York, NY.
Detail and sources for Arch Global Advisors

Form ADV of Arch Global Advisors, LLC (CRD 297397), SEC registered adviser, filed , main office New York, NY: regulatory assets $231MM; 16 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 402 individuals, 132 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV.

$231MMJun 202644285%
Aspire Advisors
Wealth manager, North White Plains, NY.
Detail and sources for Aspire Advisors

Form ADV of Aspire Advisors, LLC (CRD 150652), SEC registered adviser, filed , main office North White Plains, NY: regulatory assets $109MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 116 individuals, 34 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$109MMMar 202611792%
Asset Advisory Group
Wealth manager, Kinnelon, NJ.
Detail and sources for Asset Advisory Group

Form ADV of Asset Advisory Group, Inc. (CRD 106618), SEC registered adviser, filed , main office Kinnelon, NJ: regulatory assets $480MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Asset Advisory Group, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 171 individuals, 86 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$480MMFeb 2026171100%
Astra Wealth Partners
Wealth manager, Jersey City, NJ.
Detail and sources for Astra Wealth Partners

Form ADV of Astra Wealth Partners LLC (CRD 321136), SEC registered adviser, filed , main office Jersey City, NJ: regulatory assets $268MM; 1 private fund, $4.3MM gross; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, pension consulting and selection of other advisers. Clients (Item 5.D): 137 individuals, 59 of them high net worth; individuals hold 81% of its regulatory assets.

Files: SEC Form ADV.

$268MMMar 202613881%1
Atlas Private Wealth Advisors
Wealth manager, Red Bank, NJ.
Detail and sources for Atlas Private Wealth Advisors

Form ADV of Atlas Private Wealth Advisors, LLC (CRD 283744), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $860MM; 29 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 1,211 individuals, 211 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$860MMJul 20261,223100%
Atwob
Wealth manager, Katonah, NY.
Detail and sources for Atwob

Form ADV of Point B Planning, LLC (CRD 172961), SEC registered adviser, filed , main office Katonah, NY: regulatory assets $114MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 97 individuals, 26 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$114MMMar 20269790%
Aurora Private Wealth
Wealth manager, Totowa, NJ.
Detail and sources for Aurora Private Wealth

Form ADV of Aurora Private Wealth, Inc. (CRD 281604), SEC registered adviser, filed , main office Totowa, NJ: regulatory assets $374MM; 21 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,508 individuals, 81 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$374MMJul 20261,508100%
Baron Financial Group
Wealth manager, Fair Lawn, NJ.
Detail and sources for Baron Financial Group

Form ADV of Baron Financial Group LLC (CRD 144234), SEC registered adviser, filed , main office Fair Lawn, NJ: regulatory assets $369MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Baron Financial Group LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, publications and educational seminars. Clients (Item 5.D): 306 individuals, 106 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$369MMSep 202631597%
Bautis Financial
Wealth manager, Montclair, NJ.
Detail and sources for Bautis Financial

Form ADV of Bautis Financial, LLC (CRD 148582), SEC registered adviser, filed , main office Montclair, NJ: regulatory assets $197MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 275 individuals, 27 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$197MMFeb 2026275100%
BCS Private Wealth Management
Wealth manager, Rumson, NJ. Main office Rumson, NJ; not in the totals.
Detail and sources for BCS Private Wealth Management

Form ADV of Bernard Caroli Wealth Management Inc. (CRD 174761), SEC registered adviser, filed , main office Rumson, NJ: regulatory assets $470MM; 2 private funds, $18MM gross; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Rumson, NJ; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 213 individuals, 118 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$470MMFeb 202622490%2
Beacon Financial Advisors
Wealth manager, Rye Brook, NY.
Detail and sources for Beacon Financial Advisors

Form ADV of Beacon Financial Advisors, Inc. (CRD 119672), SEC registered adviser, filed , main office Rye Brook, NY: regulatory assets $228MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Beacon Financial Advisors Ltd (CRD 106164), registered adviser, filed , Houston, TX.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 47 individuals, 38 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$228MMMar 20264992%
Beacon Trust
Wealth manager, Morristown, NJ.
Detail and sources for Beacon Trust

Form ADV of Beacon Investment Advisory Services, Inc. (CRD 226547), SEC registered adviser, filed , main office Morristown, NJ: regulatory assets $4.4BN; 51 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 2,830 individuals, 2,007 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV.

$4.4BNJul 20262,93993%
Beckerman Wealth
Wealth manager, Ocean Grove, NJ.
Detail and sources for Beckerman Wealth

Form ADV of Beckerman Institutional, LLC (CRD 142480), SEC registered adviser, filed , main office Ocean Grove, NJ: regulatory assets $303MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 206 individuals, 139 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$303MMMar 202621797%
The Bendix Financial Group
Wealth manager, Garden City, NY.
Detail and sources for The Bendix Financial Group

Form ADV of The Bendix Financial Group, Inc. (CRD 118999), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $197MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 211 individuals, 79 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$197MMSep 2026211100%
Betterment
Wealth manager, New York, NY.
Detail and sources for Betterment

Form ADV of Betterment LLC (CRD 149117), SEC registered adviser, filed , main office New York, NY: regulatory assets $69.5BN; 794 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Betterment LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and educational seminars. Clients (Item 5.D): 1,016,879 individuals, 24,685 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$69.5BNJul 20261,022,48892%
BH Asset Management
Wealth manager, New York, NY.
Detail and sources for BH Asset Management

Form ADV of BH Asset Management, LLC (CRD 152117), SEC registered adviser, filed , main office New York, NY: regulatory assets $136MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 95 individuals, 78 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$136MMJul 20269599%
Black Coral Financial Advisors
Wealth manager, Mount Olive, NJ.
Detail and sources for Black Coral Financial Advisors

Form ADV of Black Coral Financial Advisors, LLC (CRD 154623), SEC registered adviser, filed , main office Mount Olive, NJ: regulatory assets $504MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 88 individuals, 88 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$504MMFeb 202688100%
Blackdiamond Wealth Management
Wealth manager, New York, NY.
Detail and sources for Blackdiamond Wealth Management

Form ADV of Blackdiamond Wealth Management, LLC (CRD 291459), SEC registered adviser, filed , main office New York, NY: regulatory assets $424MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Blackdiamond Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 371 individuals, 96 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$424MMJul 202637995%
Blank Equity Management
Wealth manager, Port Washington, NY.
Detail and sources for Blank Equity Management

Form ADV of Blank Equity Management LLC (CRD 153570), SEC registered adviser, filed , main office Port Washington, NY: regulatory assets $143MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 162 individuals, 49 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$143MMJan 202617096%
Blue Spark Capital Advisors
Wealth manager, New York, NY.
Detail and sources for Blue Spark Capital Advisors

Form ADV of Blue Spark Capital Advisors LLC (CRD 159025), SEC registered adviser, filed , main office New York, NY: regulatory assets $243MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 85 individuals, 53 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$243MMMar 20268799%
Bone Fide Wealth
Wealth manager, New York, NY.
Detail and sources for Bone Fide Wealth

Form ADV of Bone Fide Wealth, LLC (CRD 301066), SEC registered adviser, filed , main office New York, NY: regulatory assets $127MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 180 individuals, 23 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$127MMMar 202618199%
BPP Wealth Solutions
Wealth manager, Basking Ridge, NJ.
Detail and sources for BPP Wealth Solutions

Form ADV of BPP Wealth Solutions, LLC (CRD 166962), SEC registered adviser, filed , main office Basking Ridge, NJ: regulatory assets $247MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 113 individuals, 72 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$247MMMar 2026113100%
Brave Eagle Wealth Management
Wealth manager, New York, NY.
Detail and sources for Brave Eagle Wealth Management

Form ADV of Brave Eagle Wealth Management, LLC (CRD 283307), SEC registered adviser, filed , main office New York, NY: regulatory assets $101MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 107 individuals, 37 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$101MMSep 2026107100%
Bravias Financial
Wealth manager, Iselin, NJ.
Detail and sources for Bravias Financial

Form ADV of Bravias Capital Group, LLC (CRD 289589), SEC registered adviser, filed , main office Iselin, NJ: regulatory assets $212MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 439 individuals, 39 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$212MMMar 2026439100%
Breakwater Capital Group
Wealth manager, Paramus, NJ.
Detail and sources for Breakwater Capital Group

Form ADV of Breakwater Capital Group (CRD 321097), SEC registered adviser, filed , main office Paramus, NJ: regulatory assets $1.0BN; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Breakwater Capital Group, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 370 individuals, 239 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.0BNJul 2026370100%
Brewster Financial Planning
Wealth manager, Brooklyn, NY.
Detail and sources for Brewster Financial Planning

Form ADV of Brewster Financial Planning LLC (CRD 125291), SEC registered adviser, filed , main office Brooklyn, NY: regulatory assets $240MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 118 individuals, 105 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$240MMMar 2026119100%
Bridgewater Advisors
Wealth manager, New York, NY.
Detail and sources for Bridgewater Advisors

Form ADV of Bridgewater Advisors Inc. (CRD 109826), SEC registered adviser, filed , main office New York, NY: regulatory assets $2.6BN; 24 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 589 individuals, 366 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$2.6BNMar 202660697%
Brixton Capital Wealth Advisors
Wealth manager, Garden City, NY.
Detail and sources for Brixton Capital Wealth Advisors

Form ADV of Brixton Capital Wealth Advisors, LLC (CRD 288810), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $212MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and publications. Clients (Item 5.D): 819 individuals, 206 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$212MMMar 2026819100%
Brooklawn Capital Advisors
Wealth manager, New York, NY.
Detail and sources for Brooklawn Capital Advisors

Form ADV of Brooklawn Capital Advisors LLC (CRD 287796), SEC registered adviser, filed , main office New York, NY: regulatory assets $124MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 10 individuals, 10 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$124MMMar 202610100%
Brooklyn FI
Wealth manager, Brooklyn, NY.
Detail and sources for Brooklyn FI

Form ADV of Brooklyn FI, LLC (CRD 292115), SEC registered adviser, filed , main office Brooklyn, NY: regulatory assets $563MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 373 individuals, 71 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$563MMSep 2026373100%
Buckman Advisory Group
Wealth manager, Little Silver, NJ.
Detail and sources for Buckman Advisory Group

Form ADV of Buckman Advisory Group LLC (CRD 131688), SEC registered adviser, filed , main office Little Silver, NJ: regulatory assets $277MM; 15 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and publications. Clients (Item 5.D): 844 individuals, 255 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV.

$277MMApr 202686887%
Cadia Private Client
Wealth manager, Parsippany, NJ.
Detail and sources for Cadia Private Client

Form ADV of Cadia Private Client LLC (CRD 337400), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $193MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 122 individuals, 46 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV.

$193MMFeb 202612293%
Cannell & Spears
Wealth manager, New York, NY.
Detail and sources for Cannell & Spears

Form ADV of Cannell & Spears LLC (CRD 142633), SEC registered adviser, filed , main office New York, NY: regulatory assets $7.0BN; 2 private funds, $12MM gross; 40 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, management of private funds, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 2,394 individuals, 1,937 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV.

$7.0BNMar 20262,54991%2
Capital Counsel
Wealth manager, New York, NY.
Detail and sources for Capital Counsel

Form ADV of Capital Counsel LLC (CRD 109001), SEC registered adviser, filed , main office New York, NY: regulatory assets $2.9BN; 3 private funds, $404MM gross; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Capital Counsel LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and publications. Clients (Item 5.D): 214 individuals, 199 of them high net worth; individuals hold 78% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.9BNMar 202622478%3
Capital Preservation Partners
Wealth manager, Bronxville, NY.
Detail and sources for Capital Preservation Partners

Form ADV of Capital Preservation Partners Inc. (CRD 126340), SEC registered adviser, filed , main office Bronxville, NY: regulatory assets $222MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 417 individuals, 61 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$222MMMar 2026417100%
Castle Financial & Retirement Planning Associates
Wealth manager, Fair Haven, NJ.
Detail and sources for Castle Financial & Retirement Planning Associates

Form ADV of Castle Financial & Retirement Planning Associates Inc. (CRD 107865), SEC registered adviser, filed , main office Fair Haven, NJ: regulatory assets $108MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Castle Financial & Retirement Planning Associates Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 146 individuals, 33 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F (last for 2021).

$108MMMar 2026146100%
CFS Investment Advisory Services
Wealth manager, Totowa, NJ.
Detail and sources for CFS Investment Advisory Services

Form ADV of CFS Investment Advisory Services LLC (CRD 106577), SEC registered adviser, filed , main office Totowa, NJ: regulatory assets $2.7BN; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,139 individuals, 532 of them high net worth; individuals hold 64% of its regulatory assets.

Files: SEC Form ADV.

$2.7BNMar 20261,23864%
Charles Pratt & Company
Wealth manager, New York, NY. Main office New York, NY; not in the totals.
Detail and sources for Charles Pratt & Company

Form ADV of Charles Pratt & Company, L.L.C. (CRD 104864), SEC registered adviser, filed , main office New York, NY: regulatory assets $916MM; 1 private fund, $22MM gross; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Main office New York, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 308 individuals, 14 of them high net worth; individuals hold 73% of its regulatory assets.

Files: SEC Form ADV.

$916MMJun 202631573%1
Chatham Wealth Management
Wealth manager, Chatham, NJ.
Detail and sources for Chatham Wealth Management

Form ADV of Raab & Moskowitz Asset Management LLC (CRD 111987), SEC registered adviser, filed , main office Chatham, NJ: regulatory assets $643MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 424 individuals, 378 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$643MMMar 2026424100%
Chelsea Advisory Services
Wealth manager, Staten Island, NY.
Detail and sources for Chelsea Advisory Services

Form ADV of Chelsea Advisory Services, Inc. (CRD 150791), SEC registered adviser, filed , main office Staten Island, NY: regulatory assets $147MM; 30 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 552 individuals, 46 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$147MMAug 2026552100%
Chemistry Wealth Management
Wealth manager, New York, NY.
Detail and sources for Chemistry Wealth Management

Form ADV of Chemistry Wealth Management LLC (CRD 316069), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.3BN; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Chemistry Wealth Management LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 558 individuals, 331 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.3BNMar 2026558100%
Cherrydale Wealth Management
Wealth manager, Montclair, NJ.
Detail and sources for Cherrydale Wealth Management

Form ADV of Cherrydale Wealth Management, LLC (CRD 171541), SEC registered adviser, filed , main office Montclair, NJ: regulatory assets $495MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Cherrydale Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 76 individuals, 76 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$495MMJun 202676100%
Circle Wealth Management
Wealth manager, Summit, NJ.
Detail and sources for Circle Wealth Management

Form ADV of Circle Wealth Management, LLC (CRD 142878), SEC registered adviser, filed , main office Summit, NJ: regulatory assets $14.1BN; 23 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Circle Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 349 individuals, 349 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$14.1BNApr 202638093%
Ciro Capital
Wealth manager, Jersey City, NJ.
Detail and sources for Ciro Capital

Form ADV of Ciro Capital LLC (CRD 329576), SEC registered adviser, filed , main office Jersey City, NJ: regulatory assets $117MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 78 individuals, 29 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$117MMMay 20268896%
Citigroup Global Markets
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for Citigroup Global Markets

Form ADV of Citigroup Global Markets Inc. (CRD 7059), SEC registered adviser, filed , main office New York, NY: regulatory assets $56.0BN; 7,036 employees.

Tied to this row by the CRD the list cites from the filing.

Files a 13F notice (quarter ended , filed ): its holdings are reported on another manager's 13F.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, security ratings and other services. Clients (Item 5.D): 58,096 individuals, 23,441 of them high net worth; individuals hold 74% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV, SEC Form 13F.

$56.0BNSep 202659,82974%
Citizens Private Wealth
Wealth manager, Tarrytown, NY.
Detail and sources for Citizens Private Wealth

Form ADV of Citizens Private Wealth, LLC (CRD 106743), SEC registered adviser, filed , main office Tarrytown, NY: regulatory assets $16.6BN; 214 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 2,465 individuals, 2,465 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$16.6BNJul 20262,56794%
Citrin Cooperman Wealth Management
Wealth manager, New York, NY.
Detail and sources for Citrin Cooperman Wealth Management

Form ADV of Citrin Cooperman Wealth Management, LLC (CRD 317528), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.7BN; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 51 individuals, 51 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$1.7BNMar 20266394%
Clarity Investments + Planning
Wealth manager, Mount Kisco, NY.
Detail and sources for Clarity Investments + Planning

Form ADV of Clarity Investments + Planning LLC (CRD 148888), SEC registered adviser, filed , main office Mount Kisco, NY: regulatory assets $141MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 90 individuals, 42 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$141MMMar 202690100%
Clarus Group
Wealth manager, New York, NY.
Detail and sources for Clarus Group

Form ADV of Clarus Group LLC (CRD 310156), SEC registered adviser, filed , main office New York, NY: regulatory assets $158MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: The Clarus Group, Inc. (CRD 310163), registered adviser, filed , Houston, TX.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 182 individuals, 11 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV.

$158MMSep 202618293%
Clear Point Advisors
Wealth manager, Melville, NY.
Detail and sources for Clear Point Advisors

Form ADV of Clear Point Advisors, Inc. (CRD 111775), SEC registered adviser, filed , main office Melville, NY: regulatory assets $253MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and educational seminars. Clients (Item 5.D): 147 individuals, 82 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$253MMMar 202615198%
Clear Wave Wealth Management
Wealth manager, Red Bank, NJ.
Detail and sources for Clear Wave Wealth Management

Form ADV of Clear Wave Wealth Management, LLC (CRD 338582), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $617MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 142 individuals, 113 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$617MMAug 2026142100%
Collaborative Capital Advisors
Wealth manager, New York, NY.
Detail and sources for Collaborative Capital Advisors

Form ADV of Collaborative Capital Advisors LLC (CRD 337588), SEC registered adviser, filed , main office New York, NY: regulatory assets $388MM; 1 private fund, $5.0MM gross; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 17 individuals, 17 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$388MMJul 20261899%1
Compass Advisors
Wealth manager, Melville, NY.
Detail and sources for Compass Advisors

Form ADV of Compass Advisory Group LLC (CRD 288256), SEC registered adviser, filed , main office Melville, NY: regulatory assets $767MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Compass Advisory Group LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 361 individuals, 121 of them high net worth; individuals hold 55% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$767MMSep 202652855%
Compass Private Wealth Group
Wealth manager, Short Hills, NJ.
Detail and sources for Compass Private Wealth Group

Form ADV of Compass Private Wealth Group LLC (CRD 316785), SEC registered adviser, filed , main office Short Hills, NJ: regulatory assets $113MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 80 individuals, 67 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$113MMJun 202680100%
Compound Planning
Wealth manager, New York, NY.
Detail and sources for Compound Planning

Form ADV of Compound Planning, Inc. (CRD 171787), SEC registered adviser, filed , main office New York, NY: regulatory assets $4.8BN; 119 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 11,480 individuals, 612 of them high net worth; individuals hold 62% of its regulatory assets.

Files: SEC Form ADV.

$4.8BNJul 202613,65362%
Consolidated Portfolio Review
Wealth manager, Woodbury, NY.
Detail and sources for Consolidated Portfolio Review

Form ADV of Consolidated Portfolio Review Corp (CRD 112694), SEC registered adviser, filed , main office Woodbury, NY: regulatory assets $1.6BN; 56 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 6,187 individuals, 293 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$1.6BNJun 20266,22899%
Cordoba Advisory Partners
Wealth manager, New York, NY.
Detail and sources for Cordoba Advisory Partners

Form ADV of Cordoba Advisory Partners LLC (CRD 310199), SEC registered adviser, filed , main office New York, NY: regulatory assets $2.8BN; 2 private funds, $32MM gross; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 57 individuals, 57 of them high net worth; individuals hold 79% of its regulatory assets.

Files: SEC Form ADV.

$2.8BNMar 20266279%2
Cornerstone Planning Group
Wealth manager, Fairfield, NJ.
Detail and sources for Cornerstone Planning Group

Form ADV of Cornerstone Planning Group Inc. (CRD 307189), SEC registered adviser, filed , main office Fairfield, NJ: regulatory assets $952MM; 21 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and educational seminars. Clients (Item 5.D): 1,192 individuals, 225 of them high net worth; individuals hold 81% of its regulatory assets.

Files: SEC Form ADV.

$952MMSep 20261,25181%
Cornerstone Professional Advisor Services
Wealth manager, Garden City, NY.
Detail and sources for Cornerstone Professional Advisor Services

Form ADV of Cornerstone Professional Advisor Services, LLC (CRD 115122), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $110MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 352 individuals, 26 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$110MMMar 202636690%
Corrado Advisors
Wealth manager, Ramsey, NJ.
Detail and sources for Corrado Advisors

Form ADV of Corrado Advisors, LLC (CRD 111721), SEC registered adviser, filed , main office Ramsey, NJ: regulatory assets $253MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Corrado Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 337 individuals, 80 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$253MMMar 202634296%
Cove Private Wealth
Wealth manager, Oyster Bay, NY.
Detail and sources for Cove Private Wealth

Form ADV of Cove Private Wealth, LLC (CRD 316866), SEC registered adviser, filed , main office Oyster Bay, NY: regulatory assets $455MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Cove Private Wealth, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 92 individuals, 92 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$455MMFeb 20269598%
Covenant Asset Management
Wealth manager, Chester, NJ.
Detail and sources for Covenant Asset Management

Form ADV of Covenant Asset Management, LLC (CRD 108567), SEC registered adviser, filed , main office Chester, NJ: regulatory assets $693MM; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 643 individuals, 412 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$693MMMar 202666596%
Cultivating Wealth
Wealth manager, Montauk, NY.
Detail and sources for Cultivating Wealth

Form ADV of The Stanich Group LLC (CRD 282447), SEC registered adviser, filed : regulatory assets $210MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 175 individuals, 64 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$210MMMar 2026175100%
Davidov Wealth Group
Wealth manager, Garden City, NY.
Detail and sources for Davidov Wealth Group

Form ADV of Davidov Wealth Group, LLC (CRD 166794), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $174MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 354 individuals, 77 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$174MMJul 202636395%
Davidson Wealth Management
Wealth manager, Forked River, NJ.
Detail and sources for Davidson Wealth Management

Form ADV of Davidson Wealth Management LLC (CRD 153227), SEC registered adviser, filed , main office Forked River, NJ: regulatory assets $172MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 228 individuals, 54 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$172MMJun 202622899%
Diversified Planning Strategies Advisors
Wealth manager, Roseland, NJ.
Detail and sources for Diversified Planning Strategies Advisors

Form ADV of Diversified Planning Strategies Advisors LLC (CRD 321737), SEC registered adviser, filed , main office Roseland, NJ: regulatory assets $154MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Files a 13F notice (quarter ended , filed ): its holdings are reported on another manager's 13F.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 364 individuals, 39 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$154MMJul 2026364100%
Douglas C. Lane & Associates
Wealth manager, New York, NY. Main office New York, NY; not in the totals.
Detail and sources for Douglas C. Lane & Associates

Form ADV of Douglas Lane & Associates, LLC (CRD 282563), SEC registered adviser, filed , main office New York, NY: regulatory assets $8.4BN; 37 employees.

Tied to this row by the CRD the list cites from the filing.

Main office New York, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 1,084 individuals, 874 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$8.4BNMar 20261,14492%
Drucker Wealth
Wealth manager, Mahwah, NJ.
Detail and sources for Drucker Wealth

Form ADV of Drucker Wealth 3.0, LLC (CRD 328909), SEC registered adviser, filed : regulatory assets $891MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 613 individuals, 331 of them high net worth; individuals hold 97% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$891MMSep 202661497%
Eagle Strategies
Wealth manager, New York, NY.
Detail and sources for Eagle Strategies

Form ADV of Eagle Strategies LLC (CRD 110826), SEC registered adviser, filed , main office New York, NY: regulatory assets $32.0BN; 3,190 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Eagle Strategies LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 132,722 individuals, 27,125 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$32.0BNJul 2026133,90098%
Eagle's Crest Advisors
Wealth manager, Huntington, NY.
Detail and sources for Eagle's Crest Advisors

Form ADV of Eagle's Crest Advisors, LLC (CRD 335252), SEC registered adviser, filed , main office Huntington, NY: regulatory assets $126MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 60 individuals, 46 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$126MMSep 20266096%
Eames Financial
Wealth manager, Florham Park, NJ. Main office ; not in the totals.
Detail and sources for Eames Financial

Form ADV of an adviser filing under a person's name (CRD 118961), SEC registered adviser, filed : regulatory assets $180MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Main office ; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 50 individuals, 50 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$180MMMar 202650100%
East Coast Wealth Management
Wealth manager, Florham Park, NJ.
Detail and sources for East Coast Wealth Management

Form ADV of East Coast Wealth Management, Inc. (CRD 136155), SEC registered adviser, filed , main office Florham Park, NJ: regulatory assets $153MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 201 individuals, 60 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$153MMFeb 2026201100%
East End Financial Group
Wealth manager, Riverhead, NY.
Detail and sources for East End Financial Group

Form ADV of East End Financial Group, Inc. (CRD 110584), SEC registered adviser, filed , main office Riverhead, NY: regulatory assets $689MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 318 individuals, 151 of them high net worth; individuals hold 75% of its regulatory assets.

Files: SEC Form ADV.

$689MMJul 202636075%
Edge Wealth Management
Wealth manager, New York, NY.
Detail and sources for Edge Wealth Management

Form ADV of Edge Wealth Management, LLC (CRD 142380), SEC registered adviser, filed , main office New York, NY: regulatory assets $827MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Edge Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 252 individuals, 130 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$827MMFeb 202625298%
Ellevest
Wealth manager, New York, NY.
Detail and sources for Ellevest

Form ADV of Ellevest, Inc. (CRD 175476), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.1BN; 19 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and educational seminars. Clients (Item 5.D): 471 individuals, 371 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$1.1BNJul 202647197%
Emissary Wealth
Wealth manager, Hackensack, NJ.
Detail and sources for Emissary Wealth

Form ADV of Emissary Wealth LLC (CRD 308002), SEC registered adviser, filed , main office Hackensack, NJ: regulatory assets $185MM; 1 private fund, $18MM gross; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds and selection of other advisers. Clients (Item 5.D): 229 individuals, 38 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$185MMMar 202623090%1
Empire Financial Management Company
Wealth manager, Holmdel, NJ.
Detail and sources for Empire Financial Management Company

Form ADV of Empire Financial Management Company, LLC (CRD 146097), SEC registered adviser, filed , main office Holmdel, NJ: regulatory assets $706MM; 1 private fund, $25MM gross; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Empire Financial Management Company, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and publications. Clients (Item 5.D): 982 individuals, 733 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$706MMSep 202698396%1
Equinum
Wealth manager, Brooklyn, NY.
Detail and sources for Equinum

Form ADV of Equinum, LLC (CRD 304350), SEC registered adviser, filed , main office Brooklyn, NY: regulatory assets $566MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 146 individuals, 92 of them high net worth; individuals hold 51% of its regulatory assets.

Files: SEC Form ADV.

$566MMApr 202621451%
Equitable Advisors
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for Equitable Advisors

Form ADV of Equitable Advisors, LLC (CRD 6627), SEC registered adviser, filed , main office New York, NY: regulatory assets $47.3BN; 5,674 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 74,960 individuals, 35,521 of them high net worth; individuals hold 97% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$47.3BNSep 202676,02797%
Estabrook Capital Management
Wealth manager, New York, NY.
Detail and sources for Estabrook Capital Management

Form ADV of Estabrook Capital Management LLC (CRD 128856), SEC registered adviser, filed , main office New York, NY: regulatory assets $933MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Estabrook Capital Management LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and other services. Clients (Item 5.D): 697 individuals, 149 of them high net worth; individuals hold 81% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$933MMMar 202676781%
Evercore Wealth Management
Wealth manager, New York, NY.
Detail and sources for Evercore Wealth Management

Form ADV of Evercore Wealth Management, LLC (CRD 148399), SEC registered adviser, filed , main office New York, NY: regulatory assets $15.5BN; 1 private fund, $47MM gross; 97 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Evercore Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, management of private funds, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminars and other services. Clients (Item 5.D): 731 individuals, 674 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$15.5BNMar 202679190%1
Federmann Financial Advisors
Wealth manager, Rocky Point, NY.
Detail and sources for Federmann Financial Advisors

Form ADV of Federmann Financial Advisors Inc. (CRD 129975), SEC registered adviser, filed , main office Rocky Point, NY: regulatory assets $108MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 58 individuals, 34 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$108MMFeb 202658100%
Fifth Set Private Wealth Management
Wealth manager, Larchmont, NY.
Detail and sources for Fifth Set Private Wealth Management

Form ADV of Fifth Set Private Wealth Management LLC (CRD 159118), SEC registered adviser, filed : regulatory assets $160MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 63 individuals, 44 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$160MMFeb 202663100%
Financial Asset Management
Wealth manager, Chappaqua, NY.
Detail and sources for Financial Asset Management

Form ADV of Financial Asset Management Corp (CRD 106643), SEC registered adviser, filed , main office Chappaqua, NY: regulatory assets $436MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 204 individuals, 105 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$436MMMar 202620499%
Financial Decisions
Wealth manager, New York, NY.
Detail and sources for Financial Decisions

Form ADV of Financial Decisions, LLC (CRD 107755), SEC registered adviser, filed , main office New York, NY: regulatory assets $328MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 136 individuals, 120 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$328MMAug 202615297%
Financial Futures
Wealth manager, Brielle, NJ.
Detail and sources for Financial Futures

Form ADV of Financial Futures Limited Liability Company (CRD 128900), SEC registered adviser, filed , main office Brielle, NJ: regulatory assets $270MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 204 individuals, 89 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$270MMMar 202620697%
Finhabits Advisors
Wealth manager, New York, NY.
Detail and sources for Finhabits Advisors

Form ADV of Finhabits Advisors, LLC (CRD 210522), SEC registered adviser, filed , main office New York, NY: regulatory assets $116MM; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 29,460 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$116MMMar 202629,460100%
First Manhattan Co
Wealth manager, New York, NY.
Detail and sources for First Manhattan Co

Form ADV of First Manhattan Co. LLC (CRD 325281), SEC registered adviser, filed , main office New York, NY: regulatory assets $38.1BN; 9 private funds, $866MM gross; 147 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, management of private funds, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 6,080 individuals, 3,828 of them high net worth; individuals hold 89% of its regulatory assets.

Files: SEC Form ADV.

$38.1BNAug 20266,29489%9
Flagstar Securities
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for Flagstar Securities

Form ADV of Flagstar Securities, Inc. (CRD 104233), SEC registered adviser, filed , main office New York, NY: regulatory assets $784MM; 37 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Flagstar Securities, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,004 individuals, 338 of them high net worth; individuals hold 82% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV, SEC Form 13F.

$784MMJul 20261,12382%
Flynn Zito Capital Management
Wealth manager, Garden City, NY.
Detail and sources for Flynn Zito Capital Management

Form ADV of Flynn Zito Capital Management, LLC (CRD 152689), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $774MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Flynn Zito Capital Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and publications. Clients (Item 5.D): 1,039 individuals, 452 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$774MMFeb 20261,07395%
Forte Asset Management
Wealth manager, Bedford, NY.
Detail and sources for Forte Asset Management

Form ADV of Forte Asset Management, LLC (CRD 132969), SEC registered adviser, filed : regulatory assets $322MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 62 individuals, 34 of them high net worth; individuals hold 91% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$322MMOct 20266491%
Forteris Wealth Management
Wealth manager, Armonk, NY.
Detail and sources for Forteris Wealth Management

Form ADV of Forteris Wealth Management, Inc. (CRD 108314), SEC registered adviser, filed , main office Armonk, NY: regulatory assets $219MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and other services. Clients (Item 5.D): 175 individuals, 92 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$219MMMar 202618594%
Fortis Group Advisors
Wealth manager, Westwood, NJ.
Detail and sources for Fortis Group Advisors

Form ADV of Fortis Group Advisors LLC (CRD 290427), SEC registered adviser, filed , main office Westwood, NJ: regulatory assets $822MM; 29 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 2,566 individuals, 190 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$822MMMar 20262,60496%
Four Corners Financial
Wealth manager, Melville, NY.
Detail and sources for Four Corners Financial

Form ADV of V&v Management Group Corporation (CRD 287468), SEC registered adviser, filed , main office Melville, NY: regulatory assets $105MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 45 individuals, 29 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$105MMFeb 20264595%
Fox Financial Services
Wealth manager, White Plains, NY.
Detail and sources for Fox Financial Services

Form ADV of Fox Financial Services, Inc. (CRD 112506), SEC registered adviser, filed , main office White Plains, NY: regulatory assets $111MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 84 individuals, 31 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$111MMFeb 202684100%
Francis Financial
Wealth manager, New York, NY.
Detail and sources for Francis Financial

Form ADV of Francis Financial, Inc. (CRD 128067), SEC registered adviser, filed , main office New York, NY: regulatory assets $803MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 256 individuals, 199 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$803MMMar 2026256100%
Frisch Financial Group
Wealth manager, Melville, NY.
Detail and sources for Frisch Financial Group

Form ADV of Frisch Financial Group, Inc. (CRD 126524), SEC registered adviser, filed , main office Melville, NY: regulatory assets $932MM; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 601 individuals, 358 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$932MMApr 202660199%
Fusion Family Wealth
Wealth manager, Woodbury, NY.
Detail and sources for Fusion Family Wealth

Form ADV of Fusion Family Wealth, LLC (CRD 168254), SEC registered adviser, filed , main office Woodbury, NY: regulatory assets $1.4BN; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 359 individuals, 200 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$1.4BNMar 202636895%
Garden State Investment Advisory Services
Wealth manager, Red Bank, NJ.
Detail and sources for Garden State Investment Advisory Services

Form ADV of Garden State Investment Advisory Services, LLC (CRD 133088), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $674MM; 32 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Garden State Investment Advisory Services, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 2,492 individuals, 151 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$674MMMar 20262,53197%
Garden State Retirement Specialists
Wealth manager, Red Bank, NJ.
Detail and sources for Garden State Retirement Specialists

Form ADV of Garden State Retirement Specialists, LLC (CRD 128414), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $109MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 152 individuals, 63 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$109MMSep 2026152100%
Garrison Bradford & Associates
Wealth manager, New York, NY.
Detail and sources for Garrison Bradford & Associates

Form ADV of Garrison Bradford & Associates Inc. (CRD 105603), SEC registered adviser, filed , main office New York, NY: regulatory assets $138MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Garrison Bradford & Associates Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 92 individuals, 53 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$138MMMar 20269297%
GCI Financial Group
Wealth manager, Mendham, NJ.
Detail and sources for GCI Financial Group

Form ADV of GCI Financial Group, Inc. (CRD 124193), SEC registered adviser, filed , main office Mendham, NJ: regulatory assets $145MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 130 individuals, 48 of them high net worth; individuals hold 88% of its regulatory assets.

Files: SEC Form ADV.

$145MMJun 202614088%
Genesis Financial Group
Wealth manager, Paramus, NJ.
Detail and sources for Genesis Financial Group

Form ADV of Genesis Financial Group, LLC (CRD 327996), SEC registered adviser, filed , main office Paramus, NJ: regulatory assets $171MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 70 individuals, 25 of them high net worth; individuals hold 88% of its regulatory assets.

Files: SEC Form ADV.

$171MMMar 20267388%
The Genwealth Group
Wealth manager, Maplewood, NJ.
Detail and sources for The Genwealth Group

Form ADV of The Genwealth Group, Inc. (CRD 154569), SEC registered adviser, filed , main office Maplewood, NJ: regulatory assets $661MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of The Genwealth Group, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications and educational seminars. Clients (Item 5.D): 301 individuals, 179 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$661MMAug 2026301100%
Geremia Financial Services
Wealth manager, Edison, NJ.
Detail and sources for Geremia Financial Services

Form ADV of Geremia Financial Services, LLC (CRD 156504), SEC registered adviser, filed , main office Edison, NJ: regulatory assets $132MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 130 individuals, 31 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$132MMMar 2026132100%
Glen Eagle Advisors
Wealth manager, Kingston, NJ.
Detail and sources for Glen Eagle Advisors

Form ADV of Glen Eagle Advisors, LLC (CRD 282920), SEC registered adviser, filed , main office Kingston, NJ: regulatory assets $1.0BN; 21 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 3,361 individuals, 335 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$1.0BNApr 20263,40197%
Global Wealth Management
Wealth manager, Kingston, NJ.
Detail and sources for Global Wealth Management

Form ADV of Global Wealth Management, LLC (CRD 153677), SEC registered adviser, filed , main office Kingston, NJ: regulatory assets $246MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 61 individuals, 31 of them high net worth; individuals hold 73% of its regulatory assets.

Files: SEC Form ADV.

$246MMFeb 20267673%
Golden Bay Advisors
Wealth manager, Chappaqua, NY.
Detail and sources for Golden Bay Advisors

Form ADV of Golden Bay Advisors LLC (CRD 166679), SEC registered adviser, filed : regulatory assets $296MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 147 individuals, 23 of them high net worth; individuals hold 86% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$296MMJul 202615486%
Grantvest Financial Group
Wealth manager, Matawan, NJ.
Detail and sources for Grantvest Financial Group

Form ADV of Grantvest Financial Group LLC (CRD 310272), SEC registered adviser, filed , main office Matawan, NJ: regulatory assets $230MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 620 individuals, 200 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$230MMMar 202663094%
Green Ridge Wealth Planning
Wealth manager, Montville, NJ.
Detail and sources for Green Ridge Wealth Planning

Form ADV of Green Ridge Wealth Planning LLC (CRD 304236), SEC registered adviser, filed , main office Montville, NJ: regulatory assets $390MM; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 283 individuals, 103 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$390MMSep 202630295%
Greenline Partners
Wealth manager, New York, NY.
Detail and sources for Greenline Partners

Form ADV of Greenline Partners, LLC (CRD 164192), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.4BN; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 59 individuals, 59 of them high net worth; individuals hold 57% of its regulatory assets.

Files: SEC Form ADV.

$1.4BNMar 20265957%
Guardian Wealth Partners
Wealth manager, New York, NY.
Detail and sources for Guardian Wealth Partners

Form ADV of Guardian Wealth Partners, LLC (CRD 310203), SEC registered adviser, filed , main office New York, NY: regulatory assets $191MM; 75 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 402 individuals, 30 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$191MMSep 2026402100%
Guerra Pan Advisors
Wealth manager, Montclair, NJ.
Detail and sources for Guerra Pan Advisors

Form ADV of Guerra Pan Advisors, LLC (CRD 313489), SEC registered adviser, filed : regulatory assets $210MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Guerra Pan Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 85 individuals, 48 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV, SEC Form 13F.

$210MMFeb 202685100%
The Hajdari Group
Wealth manager, Staten Island, NY.
Detail and sources for The Hajdari Group

Form ADV of The Hajdari Group, LLC (CRD 289331), SEC registered adviser, filed , main office Staten Island, NY: regulatory assets $133MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 241 individuals, 48 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$133MMMar 202625498%
Hegarty Advisors
Wealth manager, Garden City, NY.
Detail and sources for Hegarty Advisors

Form ADV of Hegarty Advisors, LLC (CRD 306342), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $171MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 101 individuals, 52 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$171MMJan 2026101100%
Heller Wealth Management
Wealth manager, Melville, NY.
Detail and sources for Heller Wealth Management

Form ADV of Total Management Group, Inc. (CRD 124261), SEC registered adviser, filed , main office Melville, NY: regulatory assets $554MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and other services. Clients (Item 5.D): 191 individuals, 177 of them high net worth; individuals hold 86% of its regulatory assets.

Files: SEC Form ADV.

$554MMFeb 202624386%
Hennion & Walsh Asset Management
Wealth manager with a broker-dealer, Parsippany, NJ.
Detail and sources for Hennion & Walsh Asset Management

Form ADV of Hennion & Walsh Asset Management, Inc. (CRD 126236), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $769MM; 75 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,087 individuals, 147 of them high net worth; individuals hold 94% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$769MMAug 20261,09994%
Heritage Financial Counselors
Wealth manager, Bedminster, NJ.
Detail and sources for Heritage Financial Counselors

Form ADV of Heritage Financial Counselors, LLC (CRD 288232), SEC registered adviser, filed , main office Bedminster, NJ: regulatory assets $236MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 143 individuals, 67 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$236MMMar 2026143100%
Heydorn Stone Capital Management
Wealth manager, Larchmont, NY.
Detail and sources for Heydorn Stone Capital Management

Form ADV of Heydorn Stone Capital Management LLC (CRD 125903), SEC registered adviser, filed , main office Larchmont, NY: regulatory assets $142MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 113 individuals, 63 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$142MMMar 202611798%
HFH Planning
Wealth manager, New York, NY.
Detail and sources for HFH Planning

Form ADV of HFH Planning Inc. (CRD 114046), SEC registered adviser, filed : regulatory assets $206MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 122 individuals, 56 of them high net worth; individuals hold 99% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$206MMApr 202612299%
High Point Wealth Management
Wealth manager, Chester, NJ.
Detail and sources for High Point Wealth Management

Form ADV of High Point Wealth Management, LLC (CRD 147111), SEC registered adviser, filed , main office Chester, NJ: regulatory assets $193MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 146 individuals, 43 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$193MMFeb 2026146100%
Highland Financial Advisors
Wealth manager, Wayne, NJ.
Detail and sources for Highland Financial Advisors

Form ADV of Highland Financial Advisors, LLC (CRD 125838), SEC registered adviser, filed , main office Wayne, NJ: regulatory assets $640MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Highland Financial Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and educational seminars. Clients (Item 5.D): 328 individuals, 139 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$640MMSep 202636191%
Hillcrest Wealth Advisors - NY
Wealth manager, Holmdel, NJ.
Detail and sources for Hillcrest Wealth Advisors - NY

Form ADV of Hillcrest Wealth Advisors - NY, LLC (CRD 126818), SEC registered adviser, filed , main office Holmdel, NJ: regulatory assets $391MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 62 individuals, 56 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$391MMMay 20266599%
Hollow Brook Wealth Management
Wealth manager, Katonah, NY.
Detail and sources for Hollow Brook Wealth Management

Form ADV of Hollow Brook Wealth Management LLC (CRD 145521), SEC registered adviser, filed , main office Katonah, NY: regulatory assets $1.4BN; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Hollow Brook Wealth Management LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 549 individuals, 459 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.4BNMar 202660394%
Hudson Heritage Capital Management
Wealth manager with a broker-dealer, Croton-On-Hudson, NY.
Detail and sources for Hudson Heritage Capital Management

Form ADV of Hudson Heritage Capital Management, Inc. (CRD 44357), SEC registered adviser, filed , main office Croton-On-Hudson, NY: regulatory assets $129MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 285 individuals, 9 of them high net worth; individuals hold 96% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$129MMMar 202630096%
Hudson Oak Wealth Advisory
Wealth manager, Hoboken, NJ.
Detail and sources for Hudson Oak Wealth Advisory

Form ADV of Hudson Oak Wealth Advisory LLC (CRD 300218), SEC registered adviser, filed , main office Hoboken, NJ: regulatory assets $134MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 56 individuals, 29 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$134MMMar 202656100%
Hurley Capital
Wealth manager, New York, NY.
Detail and sources for Hurley Capital

Form ADV of Hurley Capital, LLC (CRD 130051), SEC registered adviser, filed , main office New York, NY: regulatory assets $326MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Hurley Capital, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 158 individuals, 60 of them high net worth; individuals hold 89% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$326MMMar 202618789%
IDB Lido Wealth
Wealth manager, New York, NY.
Detail and sources for IDB Lido Wealth

Form ADV of IDB Lido Wealth, LLC (CRD 322488), SEC registered adviser, filed , main office New York, NY: regulatory assets $478MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Files a 13F notice (quarter ended , filed ): its holdings are reported on another manager's 13F.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 171 individuals, 152 of them high net worth; individuals hold 74% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$478MMJul 202620974%
IFC Personal Money Managers
Wealth manager, New York, NY.
Detail and sources for IFC Personal Money Managers

Form ADV of IFC Personal Money Managers, Inc. (CRD 126344), SEC registered adviser, filed , main office New York, NY: regulatory assets $451MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 90 individuals, 85 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$451MMApr 202690100%
Imperity Wealth Alliance
Wealth manager, Melville, NY.
Detail and sources for Imperity Wealth Alliance

Form ADV of Imperity Wealth Alliance LLC (CRD 339113), SEC registered adviser, filed , main office Melville, NY: regulatory assets $140MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 363 individuals, 24 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$140MMJul 202636397%
Indfin
Wealth manager, South Orange, NJ.
Detail and sources for Indfin

Form ADV of Indfin LLC (CRD 127898), SEC registered adviser, filed : regulatory assets $128MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 55 individuals, 37 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$128MMJan 202655100%
Infiniti Wealth Management
Wealth manager, Brewster, NY.
Detail and sources for Infiniti Wealth Management

Form ADV of Durante & Waters, LLC (CRD 127216), SEC registered adviser, filed , main office Brewster, NY: regulatory assets $187MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 171 individuals, 41 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$187MMFeb 2026171100%
Ingalls Investment Management
Wealth manager, New York, NY.
Detail and sources for Ingalls Investment Management

Form ADV of Ingalls Investment Management, LLC (CRD 343369), SEC registered adviser, filed , main office New York, NY: regulatory assets $7.8BN; 3 private funds, $142MM gross; 50 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Ingalls Investment Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 4,245 individuals, 1,090 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$7.8BNSep 20264,45387%3
Institutional Investment Advisors
Wealth manager, New York, NY.
Detail and sources for Institutional Investment Advisors

Form ADV of Institutional Investment Advisors Corp (CRD 126055), SEC registered adviser, filed , main office New York, NY: regulatory assets $105MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 137 individuals, 44 of them high net worth; individuals hold 88% of its regulatory assets.

Files: SEC Form ADV.

$105MMFeb 202614388%
Integrated Financial Consulting
Wealth manager, Airmont, NY.
Detail and sources for Integrated Financial Consulting

Form ADV of Integrated Financial Consulting, LLC (CRD 130920), SEC registered adviser, filed , main office Airmont, NY: regulatory assets $141MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 87 individuals, 40 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$141MMMar 20268998%
Investment Insight Wealth Management
Wealth manager, Massapequa, NY.
Detail and sources for Investment Insight Wealth Management

Form ADV of Investment Insight Wealth Management, LLC (CRD 130070), SEC registered adviser, filed : regulatory assets $178MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Investment Insight Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 133 individuals, 32 of them high net worth; individuals hold 87% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV, SEC Form 13F.

$178MMSep 202613387%
Investment Partners Asset Management
Wealth manager, Metuchen, NJ.
Detail and sources for Investment Partners Asset Management

Form ADV of Investment Partners Asset Management (CRD 121812), SEC registered adviser, filed , main office Metuchen, NJ: regulatory assets $333MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Investment Partners Asset Management, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 241 individuals, 148 of them high net worth; individuals hold 83% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$333MMMay 202625783%
J. Safra Asset Management Corporation
Wealth manager, New York City, NY.
Detail and sources for J. Safra Asset Management Corporation

Form ADV of J. Safra Asset Management Corporation (CRD 131243), SEC registered adviser, filed , main office New York City, NY: regulatory assets $6.3BN; 7 private funds, $314MM gross; 22 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 3,374 individuals, 3,079 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$6.3BNAug 20263,44392%7
J.J. Burns & Company
Wealth manager, Melville, NY. Main office Melville, NY; not in the totals.
Detail and sources for J.J. Burns & Company

Form ADV of James J. Burns & Company, LLC (CRD 140452), SEC registered adviser, filed , main office Melville, NY: regulatory assets $1.3BN; 16 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Melville, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 617 individuals, 280 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$1.3BNSep 202662797%
J.P. Morgan Securities
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for J.P. Morgan Securities

Form ADV of J.P. Morgan Securities LLC (CRD 79), SEC registered adviser, filed , main office New York, NY: regulatory assets $429.7BN; 8,703 employees.

Tied to this row by the CRD the list cites from the filing.

Files a 13F notice (quarter ended , filed ): its holdings are reported on another manager's 13F.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,234,172 individuals, 356,866 of them high net worth; individuals hold 91% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV, SEC Form 13F.

$429.7BNSep 20261,246,64691%
Jbglobal.com
Wealth manager, New York, NY.
Detail and sources for Jbglobal.com

Form ADV of Jbglobal.com LLC (CRD 119111), SEC registered adviser, filed , main office New York, NY: regulatory assets $121MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Jbglobal.com LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 50 individuals, 42 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$121MMJan 202650100%
Jeffrey Matthews Wealth Management
Wealth manager, Florham Park, NJ. Main office Florham Park, NJ; not in the totals.
Detail and sources for Jeffrey Matthews Wealth Management

Form ADV of Jeffrey Matthews Wealth Management, LLC (CRD 155392), SEC registered adviser, filed , main office Florham Park, NJ: regulatory assets $162MM; 15 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Florham Park, NJ; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 352 individuals, 94 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$162MMJul 202636794%
Joel Isaacson & Co.
Wealth manager, New York, NY. Main office New York, NY; not in the totals.
Detail and sources for Joel Isaacson & Co.

Form ADV of Joel Isaacson & Co., LLC (CRD 152450), SEC registered adviser, filed , main office New York, NY: regulatory assets $9.3BN; 52 employees.

Tied to this row by the CRD the list cites from the filing.

Main office New York, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 1,267 individuals, 1,132 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$9.3BNMar 20261,271100%
Joseph P. Lucia & Associates
Wealth manager, Yorktown Heights, NY. Main office Yorktown Heights, NY; not in the totals.
Detail and sources for Joseph P. Lucia & Associates

Form ADV of Joseph P. Lucia & Associates, LLC (CRD 147625), SEC registered adviser, filed , main office Yorktown Heights, NY: regulatory assets $388MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Yorktown Heights, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 662 individuals, 101 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$388MMMar 2026662100%
Kensington Financial Advisors
Wealth manager, Roseland, NJ.
Detail and sources for Kensington Financial Advisors

Form ADV of Kensington Financial Advisors LLC (CRD 136346), SEC registered adviser, filed , main office Roseland, NJ: regulatory assets $160MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and other services. Clients (Item 5.D): 91 individuals, 42 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$160MMJul 202691100%
Kevin M. Gibney and Company
Wealth manager, Iselin, NJ. Main office Iselin, NJ; not in the totals.
Detail and sources for Kevin M. Gibney and Company

Form ADV of Kevin M. Gibney and Company, LLC (CRD 151879), SEC registered adviser, filed , main office Iselin, NJ: regulatory assets $307MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Iselin, NJ; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 108 individuals, 53 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$307MMMar 202610899%
Key Client Fiduciary Advisors
Wealth manager, Fairfield, NJ.
Detail and sources for Key Client Fiduciary Advisors

Form ADV of Key Client Fiduciary Advisors, LLC (CRD 298240), SEC registered adviser, filed , main office Fairfield, NJ: regulatory assets $896MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 2,195 individuals, 198 of them high net worth; individuals hold 82% of its regulatory assets.

Files: SEC Form ADV.

$896MMMar 20262,27282%
Kimelman & Baird
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for Kimelman & Baird

Form ADV of Kimelman & Baird, LLC (CRD 2440), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.5BN; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 242 individuals, 113 of them high net worth; individuals hold 94% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$1.5BNApr 202624994%
Klingenstein Fields Advisors
Wealth manager, New York, NY.
Detail and sources for Klingenstein Fields Advisors

Form ADV of Klingenstein, Fields & Co., L.P. (CRD 105907), SEC registered adviser, filed , main office New York, NY: regulatory assets $4.7BN; 12 private funds, $172MM gross; 39 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: KF Group, LP (CRD 304186), registered adviser, filed , New York, NY.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 1,237 individuals, 977 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$4.7BNJul 20261,30984%12
Klingman and Associates
Wealth manager, New York, NY.
Detail and sources for Klingman and Associates

Form ADV of Klingman and Associates, LLC (CRD 125618), SEC registered adviser, filed , main office New York, NY: regulatory assets $5.7BN; 25 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Klingman and Associates, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 704 individuals, 456 of them high net worth; individuals hold 78% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$5.7BNMay 202670978%
Koehler Asset Management
Wealth manager, Babylon, NY.
Detail and sources for Koehler Asset Management

Form ADV of Koehler Asset Management, LLC (CRD 340322), SEC registered adviser, filed , main office Babylon, NY: regulatory assets $111MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 191 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$111MMSep 2026191100%
Kutz and Company
Wealth manager, Great Neck, NY.
Detail and sources for Kutz and Company

Form ADV of Kutz and Company Inc. (CRD 124722), SEC registered adviser, filed , main office Great Neck, NY: regulatory assets $115MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 66 individuals, 27 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$115MMMar 202666100%
Laidlaw Wealth Management
Wealth manager, New York, NY.
Detail and sources for Laidlaw Wealth Management

Form ADV of Laidlaw Wealth Management LLC (CRD 150040), SEC registered adviser, filed , main office New York, NY: regulatory assets $108MM; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 100 individuals, 27 of them high net worth; individuals hold 89% of its regulatory assets.

Files: SEC Form ADV.

$108MMApr 202612389%
Landmark Wealth Management
Wealth manager, Melville, NY.
Detail and sources for Landmark Wealth Management

Form ADV of Landmark Wealth Management, LLC (CRD 158693), SEC registered adviser, filed , main office Melville, NY: regulatory assets $442MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Landmark Wealth Management, LLC, quarter ended , filed .

Possible match by name only, not counted: Bryant Woods Investment Advisors, LLC (CRD 109379), registered adviser, filed , Getzville, NY.

Possible match by name only, not counted: Landmark Wealth Management, Inc. (CRD 167188), registered adviser, filed , Normal, IL.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and educational seminars. Clients (Item 5.D): 280 individuals, 138 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$442MMSep 202629695%
Lantern Wealth Advisors
Wealth manager, Melville, NY.
Detail and sources for Lantern Wealth Advisors

Form ADV of Lantern Wealth Advisors, LLC (CRD 147420), SEC registered adviser, filed , main office Melville, NY: regulatory assets $320MM; 26 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 175 individuals, 60 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$320MMAug 202618884%
Legacy Edge Advisors
Wealth manager, Syosset, NY.
Detail and sources for Legacy Edge Advisors

Form ADV of Legacy Edge Advisors, LLC (CRD 328064), SEC registered adviser, filed , main office Syosset, NY: regulatory assets $1.2BN; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 530 individuals, 442 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$1.2BNApr 2026532100%
Leicht Financial Planning and Wealth Management
Wealth manager, Parsippany, NJ.
Detail and sources for Leicht Financial Planning and Wealth Management

Form ADV of Leicht Financial Planning and Wealth Management, Inc. (CRD 171967), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $237MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Leicht Financial Planning and Wealth Management, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 194 individuals, 85 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$237MMMar 202619499%
Leo Wealth
Wealth manager, Edison, NJ.
Detail and sources for Leo Wealth

Form ADV of Leo Wealth, LLC (CRD 283891), SEC registered adviser, filed , main office Edison, NJ: regulatory assets $3.2BN; 40 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 1,714 individuals, 453 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$3.2BNSep 20261,714100%
Lifecapital Partners
Wealth manager, New York, NY.
Detail and sources for Lifecapital Partners

Form ADV of Lifecapital Partners LLC (CRD 337455), SEC registered adviser, filed , main office New York, NY: regulatory assets $133MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 297 individuals, 42 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$133MMMar 202629799%
Liftpoint Family Wealth Advisors
Wealth manager, Far Hills, NJ.
Detail and sources for Liftpoint Family Wealth Advisors

Form ADV of Liftpoint Family Wealth Advisors, LLC (CRD 337973), SEC registered adviser, filed , main office Far Hills, NJ: regulatory assets $188MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 61 individuals, 45 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$188MMFeb 20266497%
Lighthouse Financial Advisors
Wealth manager, Red Bank, NJ.
Detail and sources for Lighthouse Financial Advisors

Form ADV of Lighthouse Financial Advisors, Inc. (CRD 121496), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $1.1BN; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 429 individuals, 208 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV.

$1.1BNMar 202642993%
Lionshead Wealth Management
Wealth manager, New York, NY.
Detail and sources for Lionshead Wealth Management

Form ADV of Lionshead Wealth Management, LLC (CRD 288526), SEC registered adviser, filed , main office New York, NY: regulatory assets $230MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 103 individuals, 41 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$230MMMar 202610796%
Livian & Co.
Wealth manager, New York, NY.
Detail and sources for Livian & Co.

Form ADV of Livian & Co., LLC (CRD 153771), SEC registered adviser, filed , main office New York, NY: regulatory assets $153MM; 3 private funds, $5.0MM gross; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and other services. Clients (Item 5.D): 47 individuals, 47 of them high net worth; individuals hold 67% of its regulatory assets.

Files: SEC Form ADV.

$153MMApr 20267067%3
Locker Financial Services
Wealth manager, Verona, NJ.
Detail and sources for Locker Financial Services

Form ADV of Locker Financial Services, LLC (CRD 120900), SEC registered adviser, filed , main office Verona, NJ: regulatory assets $214MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 141 individuals, 65 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$214MMJun 2026141100%
Longview Financial Advisors
Wealth manager, Bernardsville, NJ.
Detail and sources for Longview Financial Advisors

Form ADV of Longview Financial Advisors, LLC (CRD 291192), SEC registered adviser, filed : regulatory assets $384MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Longview Financial Advisors, Inc. (CRD 122451), registered adviser, filed , Huntsville, AL.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 118 individuals, 72 of them high net worth; individuals hold 83% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$384MMMay 202612583%
Lumida Wealth Management
Wealth manager, Wayne, NJ.
Detail and sources for Lumida Wealth Management

Form ADV of Lumida Wealth Management LLC (CRD 323410), SEC registered adviser, filed , main office Wayne, NJ: regulatory assets $133MM; 8 private funds, $64MM gross; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 37 individuals, 37 of them high net worth; individuals hold 59% of its regulatory assets.

Files: SEC Form ADV.

$133MMMar 20264459%8
Madison Advisory Services
Wealth manager, White Plains, NY.
Detail and sources for Madison Advisory Services

Form ADV of Madison Advisory Services, Inc. (CRD 132386), SEC registered adviser, filed , main office White Plains, NY: regulatory assets $510MM; 16 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 1,080 individuals, 203 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$510MMApr 20261,10299%
Magnolia Capital Management
Wealth manager, Cold Spring, NY.
Detail and sources for Magnolia Capital Management

Form ADV of Magnolia Capital Management, Ltd. (CRD 119597), SEC registered adviser, filed , main office Cold Spring, NY: regulatory assets $228MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 57 individuals, 27 of them high net worth; individuals hold 58% of its regulatory assets.

Files: SEC Form ADV.

$228MMSep 20266158%
Magnus Financial Group
Wealth manager, New York, NY.
Detail and sources for Magnus Financial Group

Form ADV of Magnus Financial Group LLC (CRD 289423), SEC registered adviser, filed , main office New York, NY: regulatory assets $2.3BN; 24 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 1,114 individuals, 375 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV.

$2.3BNMar 20261,15893%
Maltin Wealth Management
Wealth manager, Ridgewood, NJ.
Detail and sources for Maltin Wealth Management

Form ADV of Maltin Wealth Management, Inc. (CRD 164330), SEC registered adviser, filed : regulatory assets $507MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 201 individuals, 126 of them high net worth; individuals hold 97% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$507MMFeb 202621497%
Manhattan Wealth Management Group
Wealth manager, New York, NY.
Detail and sources for Manhattan Wealth Management Group

Form ADV of MWMG Advisors, LLC (CRD 338376), SEC registered adviser, filed , main office New York, NY: regulatory assets $153MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 311 individuals, 153 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$153MMAug 202631998%
Maridea Wealth Management
Wealth manager, Brooklyn, NY.
Detail and sources for Maridea Wealth Management

Form ADV of Maridea Wealth Management LLC (CRD 325523), SEC registered adviser, filed , main office Brooklyn, NY: regulatory assets $2.0BN; 48 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Maridea Wealth Management LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 2,100 individuals, 336 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.0BNOct 20262,10091%
Markiz Wealth Management
Wealth manager, Port Washington, NY.
Detail and sources for Markiz Wealth Management

Form ADV of Portland Financial Advisors Inc. (CRD 127371), SEC registered adviser, filed : regulatory assets $106MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 45 individuals, 33 of them high net worth; individuals hold 99% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$106MMApr 20264599%
Matauro
Wealth manager, New York, NY.
Detail and sources for Matauro

Form ADV of Matauro, LLC (CRD 333038), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.0BN; 16 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 876 individuals, 354 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$1.0BNApr 2026876100%
McRae Capital Management
Wealth manager, Morristown, NJ.
Detail and sources for McRae Capital Management

Form ADV of McRae Capital Management Inc. (CRD 104567), SEC registered adviser, filed , main office Morristown, NJ: regulatory assets $795MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and educational seminars. Clients (Item 5.D): 736 individuals, 736 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV.

$795MMSep 202682085%
MD Wealth Advisors
Wealth manager, Cranford, NJ.
Detail and sources for MD Wealth Advisors

Form ADV of MD Wealth Advisors Inc. (CRD 304595), SEC registered adviser, filed , main office Cranford, NJ: regulatory assets $105MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 163 individuals, 81 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV.

$105MMApr 202618487%
Meadowbrook Advisors
Wealth manager, Bedminster, NJ.
Detail and sources for Meadowbrook Advisors

Form ADV of Meadowbrook Advisors Group, LLC (CRD 337223), SEC registered adviser, filed : regulatory assets $321MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Meadowbrook Advisors Group, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 142 individuals, 81 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV, SEC Form 13F.

$321MMMar 2026142100%
Meadowbrook Wealth Management
Wealth manager, Garden City, NY.
Detail and sources for Meadowbrook Wealth Management

Form ADV of Meadowbrook Wealth Management, LLC (CRD 110508), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $110MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 174 individuals, 32 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$110MMApr 2026174100%
Merit Financial Partners
Wealth manager, Maspeth, NY.
Detail and sources for Merit Financial Partners

Form ADV of Merit Financial Partners LLC (CRD 141359), SEC registered adviser, filed , main office Maspeth, NY: regulatory assets $308MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 193 individuals, 100 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$308MMMar 2026197100%
Merkkuri Wealth Advisors
Wealth manager, Jericho, NY.
Detail and sources for Merkkuri Wealth Advisors

Form ADV of Merkkuri Wealth Advisors LLC (CRD 330164), SEC registered adviser, filed , main office Jericho, NY: regulatory assets $204MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 209 individuals, 29 of them high net worth; individuals hold 62% of its regulatory assets.

Files: SEC Form ADV.

$204MMMar 202628662%
Meyer Handelman Company
Wealth manager, Rye Brook, NY.
Detail and sources for Meyer Handelman Company

Form ADV of Meyer Handelman Company LLC (CRD 107309), SEC registered adviser, filed , main office Rye Brook, NY: regulatory assets $3.2BN; 1 private fund, $5.7MM gross; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 475 individuals, 402 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV.

$3.2BNMar 202648785%1
Mezzasalma Advisors
Wealth manager, Tinton Falls, NJ.
Detail and sources for Mezzasalma Advisors

Form ADV of Mezzasalma Advisors, LLC (CRD 129045), SEC registered adviser, filed , main office Tinton Falls, NJ: regulatory assets $534MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Mezzasalma Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 364 individuals, 182 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$534MMMar 202637397%
Michael J. Porro & Co. Financial Advisors
Wealth manager, Old Tappan, NJ. Main office Old Tappan, NJ; not in the totals.
Detail and sources for Michael J. Porro & Co. Financial Advisors

Form ADV of Michael J. Porro & Co. Financial Advisors, Inc. (CRD 125584), SEC registered adviser, filed , main office Old Tappan, NJ: regulatory assets $169MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Old Tappan, NJ; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 210 individuals, 58 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$169MMMar 202621497%
Milagre Wealth Management
Wealth manager, White Plains, NY.
Detail and sources for Milagre Wealth Management

Form ADV of Milagre Wealth Management, Inc. (CRD 309185), SEC registered adviser, filed , main office White Plains, NY: regulatory assets $137MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 414 individuals, 31 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$137MMMar 2026414100%
MJB Asset Management
Wealth manager, New York, NY.
Detail and sources for MJB Asset Management

Form ADV of MJB Asset Management LLC (CRD 109940), SEC registered adviser, filed , main office New York, NY: regulatory assets $141MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and other services. Clients (Item 5.D): 99 individuals, 38 of them high net worth; individuals hold 83% of its regulatory assets.

Files: SEC Form ADV.

$141MMMar 202610883%
Modera Wealth Management
Wealth manager, Westwood, NJ.
Detail and sources for Modera Wealth Management

Form ADV of Modera Wealth Management, LLC (CRD 155649), SEC registered adviser, filed , main office Westwood, NJ: regulatory assets $17.7BN; 238 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Modera Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 5,918 individuals, 3,443 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$17.7BNSep 20266,30892%
Momentum Advisors
Wealth manager, New York, NY.
Detail and sources for Momentum Advisors

Form ADV of Momentum Advisors, LLC (CRD 159574), SEC registered adviser, filed , main office New York, NY: regulatory assets $415MM; 1 private fund, $6.7MM gross; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars and other services. Clients (Item 5.D): 354 individuals, 134 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV.

$415MMJul 202637085%1
Morgan Stanley
Wealth manager with a broker-dealer, Purchase, NY.
Detail and sources for Morgan Stanley

Form ADV of Morgan Stanley Smith Barney LLC (CRD 149777), SEC registered adviser, filed , main office Purchase, NY: regulatory assets $1,961.9BN; 29,481 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 2,644,338 individuals, 43,631 of them high net worth; individuals hold 90% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$1,961.9BNSep 20262,703,72090%
Mullooly Asset Management
Wealth manager, Wall Township, NJ.
Detail and sources for Mullooly Asset Management

Form ADV of Mullooly Asset Management, Inc. (CRD 121184), SEC registered adviser, filed , main office Wall Township, NJ: regulatory assets $456MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 533 individuals, 114 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$456MMFeb 202653399%
Murphy & Mullick Capital Management
Wealth manager, Smithtown, NY.
Detail and sources for Murphy & Mullick Capital Management

Form ADV of Murphy & Mullick Capital Management Corp (CRD 328629), SEC registered adviser, filed , main office Smithtown, NY: regulatory assets $174MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Murphy & Mullick Capital Management Corp, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 436 individuals, 200 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$174MMMar 2026436100%
MWM Group
Wealth manager, Cedarhurst, NY.
Detail and sources for MWM Group

Form ADV of MWM Group LLC (CRD 164123), SEC registered adviser, filed , main office Cedarhurst, NY: regulatory assets $431MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 328 individuals, 63 of them high net worth; individuals hold 58% of its regulatory assets.

Files: SEC Form ADV.

$431MMMay 202636458%
Navis Wealth Advisors
Wealth manager, Rye Brook, NY.
Detail and sources for Navis Wealth Advisors

Form ADV of Navis Wealth Advisors LLC (CRD 311171), SEC registered adviser, filed , main office Rye Brook, NY: regulatory assets $902MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Navis Wealth Advisors LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 126 individuals, 93 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$902MMSep 2026126100%
NCM Capital Management
Wealth manager, Ramsey, NJ.
Detail and sources for NCM Capital Management

Form ADV of NCM Capital Management, LLC (CRD 151109), SEC registered adviser, filed , main office Ramsey, NJ: regulatory assets $539MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 252 individuals, 194 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$539MMMar 2026252100%
Nerdwallet Wealth Partners
Wealth manager, New York, NY.
Detail and sources for Nerdwallet Wealth Partners

Form ADV of Nerdwallet Wealth Partners, LLC (CRD 337328), SEC registered adviser, filed , main office New York, NY: regulatory assets $263MM; 23 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 694 individuals, 47 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$263MMSep 2026694100%
Nestegg Advisors
Wealth manager, Hauppauge, NY.
Detail and sources for Nestegg Advisors

Form ADV of Nestegg Advisors, Inc. (CRD 125878), SEC registered adviser, filed , main office Hauppauge, NY: regulatory assets $273MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and publications. Clients (Item 5.D): 237 individuals, 102 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$273MMJun 2026237100%
New Horizons Wealth Management
Wealth manager, Cedar Knolls, NJ.
Detail and sources for New Horizons Wealth Management

Form ADV of NHWM LLC (CRD 328155), SEC registered adviser, filed , main office Cedar Knolls, NJ: regulatory assets $203MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 228 individuals, 35 of them high net worth; individuals hold 82% of its regulatory assets.

Files: SEC Form ADV.

$203MMAug 202622882%
Next Capital Management
Wealth manager, New York, NY.
Detail and sources for Next Capital Management

Form ADV of Next Capital Management LLC (CRD 110793), SEC registered adviser, filed , main office New York, NY: regulatory assets $2.1BN; 23 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 257 individuals, 181 of them high net worth; individuals hold 79% of its regulatory assets.

Files: SEC Form ADV.

$2.1BNJan 202632079%
Next Level Private
Wealth manager, Harrison, NY.
Detail and sources for Next Level Private

Form ADV of Next Level Private LLC (CRD 313247), SEC registered adviser, filed , main office Harrison, NY: regulatory assets $1.4BN; 16 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 799 individuals, 228 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$1.4BNJul 202684190%
NPA Asset Management
Wealth manager with a broker-dealer, Fair Lawn, NJ.
Detail and sources for NPA Asset Management

Form ADV of NPA Asset Management, LLC (CRD 131534), SEC registered adviser, filed , main office Fair Lawn, NJ: regulatory assets $1.1BN; 68 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 2,293 individuals, 877 of them high net worth; individuals hold 78% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$1.1BNMar 20262,74678%
NPM Consulting
Wealth manager, Ridgewood, NJ.
Detail and sources for NPM Consulting

Form ADV of NPM Consulting, LLC (CRD 163237), SEC registered adviser, filed : regulatory assets $116MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 16 individuals, 0 of them high net worth; individuals hold 99% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$116MMMar 20261699%
Oakbourne Advisors
Wealth manager, Berkeley Heights, NJ.
Detail and sources for Oakbourne Advisors

Form ADV of Northstar Asset Management LLC (CRD 129112), SEC registered adviser, filed , main office Berkeley Heights, NJ: regulatory assets $348MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Northstar Asset Management LLC, quarter ended , filed .

Possible match by name only, not counted: Northstar Asset Management, Inc. (CRD 107138), registered adviser, filed , Boston, MA.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 437 individuals, 95 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$348MMMar 202649599%
OFC Wealth Management
Wealth manager, Short Hills, NJ.
Detail and sources for OFC Wealth Management

Form ADV of OFC Financial Planning, LLC (CRD 133846), SEC registered adviser, filed : regulatory assets $183MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 99 individuals, 40 of them high net worth; individuals hold 98% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$183MMFeb 20269998%
Oliver Luxxe Assets
Wealth manager, Gladstone, NJ.
Detail and sources for Oliver Luxxe Assets

Form ADV of Oliver Luxxe Assets LLC (CRD 169588), SEC registered adviser, filed , main office Gladstone, NJ: regulatory assets $1.0BN; 3 private funds, $37MM gross; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Oliver Luxxe Assets LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and management of private funds. Clients (Item 5.D): 441 individuals, 351 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.0BNAug 202647192%3
Omega Capital Management
Wealth manager, Flanders, NJ.
Detail and sources for Omega Capital Management

Form ADV of Omega Capital Management,llc (CRD 129167), SEC registered adviser, filed , main office Flanders, NJ: regulatory assets $140MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Omega Capital Management, LLC (CRD 169868), exempt reporting adviser, filed , Tulsa, OK.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 160 individuals, 54 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV.

$140MMMar 202617185%
Omni 360 Wealth
Wealth manager, Plainsboro, NJ.
Detail and sources for Omni 360 Wealth

Form ADV of Omni 360 Wealth, Inc. (CRD 124878), SEC registered adviser, filed , main office Plainsboro, NJ: regulatory assets $426MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 370 individuals, 86 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$426MMMar 202638595%
Onepoint BFG Wealth Partners
Wealth manager, Parsippany, NJ.
Detail and sources for Onepoint BFG Wealth Partners

Form ADV of Bleakley Financial Group, LLC (CRD 318366), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $15.1BN; 205 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 8,458 individuals, 2,934 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$15.1BNSep 20268,64795%
Onyx Bridge Wealth Group
Wealth manager, Tarrytown, NY.
Detail and sources for Onyx Bridge Wealth Group

Form ADV of Onyx Bridge Wealth Group LLC (CRD 306097), SEC registered adviser, filed , main office Tarrytown, NY: regulatory assets $1.4BN; 32 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Onyx Bridge Wealth Group LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 1,794 individuals, 341 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.4BNMay 20261,84696%
Opal Wealth Advisors
Wealth manager, Jericho, NY.
Detail and sources for Opal Wealth Advisors

Form ADV of Opal Wealth Advisors, LLC (CRD 289759), SEC registered adviser, filed , main office Jericho, NY: regulatory assets $1.2BN; 20 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Opal Wealth Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and educational seminars. Clients (Item 5.D): 730 individuals, 334 of them high net worth; individuals hold 86% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.2BNFeb 202674586%
Oppenheimer & Co
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for Oppenheimer & Co

Form ADV of Oppenheimer & Co. Inc. (CRD 249), SEC registered adviser, filed , main office New York, NY: regulatory assets $36.7BN; 2,806 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 37,047 individuals, 1,229 of them high net worth; individuals hold 62% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$36.7BNSep 202639,03662%
Osprey Private Wealth
Wealth manager, New York, NY.
Detail and sources for Osprey Private Wealth

Form ADV of Osprey Private Wealth LLC (CRD 331295), SEC registered adviser, filed , main office New York, NY: regulatory assets $448MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 56 individuals, 44 of them high net worth; individuals hold 77% of its regulatory assets.

Files: SEC Form ADV.

$448MMJun 20265877%
Overbrook Management Corporation
Wealth manager, New York, NY.
Detail and sources for Overbrook Management Corporation

Form ADV of Overbrook Management Corporation (CRD 117884), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.1BN; 3 private funds, $195MM gross; 17 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 105 individuals, 105 of them high net worth; individuals hold 52% of its regulatory assets.

Files: SEC Form ADV.

$1.1BNApr 202612352%3
Oxler Private Wealth
Wealth manager, Rye Brook, NY.
Detail and sources for Oxler Private Wealth

Form ADV of Oxler Private Wealth LLC (CRD 309684), SEC registered adviser, filed , main office Rye Brook, NY: regulatory assets $578MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Oxler Private Wealth LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and other services. Clients (Item 5.D): 111 individuals, 46 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$578MMMar 202615193%
Palumbo Wealth Management
Wealth manager, Great Neck, NY.
Detail and sources for Palumbo Wealth Management

Form ADV of Palumbo Wealth Management LLC (CRD 306548), SEC registered adviser, filed , main office Great Neck, NY: regulatory assets $543MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Palumbo Wealth Management LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 283 individuals, 158 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$543MMAug 202628997%
Paradigm Wealth Advisory
Wealth manager, Bridgewater, NJ.
Detail and sources for Paradigm Wealth Advisory

Form ADV of Paradigm Wealth Advisory LLC (CRD 283120), SEC registered adviser, filed , main office Bridgewater, NJ: regulatory assets $201MM; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 280 individuals, 65 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$201MMSep 202628398%
Parisi Gray Wealth Management
Wealth manager, Mendham, NJ.
Detail and sources for Parisi Gray Wealth Management

Form ADV of Parisi Gray Wealth Management, LLC (CRD 286388), SEC registered adviser, filed , main office Mendham, NJ: regulatory assets $796MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Parisi Gray Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 203 individuals, 108 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$796MMFeb 2026203100%
Park Avenue Securities
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for Park Avenue Securities

Form ADV of Park Avenue Securities LLC (CRD 46173), SEC registered adviser, filed , main office New York, NY: regulatory assets $19.6BN; 2,073 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 80,267 individuals, 17,261 of them high net worth; individuals hold 95% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$19.6BNSep 202682,11895%
Payne Capital Management
Wealth manager, New York, NY.
Detail and sources for Payne Capital Management

Form ADV of Payne Capital Management, LLC (CRD 147119), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.3BN; 17 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and educational seminars. Clients (Item 5.D): 964 individuals, 349 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$1.3BNMar 20261,01197%
PCB Capital
Wealth manager, East Brunswick, NJ.
Detail and sources for PCB Capital

Form ADV of PCB Capital LLC (CRD 309784), SEC registered adviser, filed , main office East Brunswick, NJ: regulatory assets $185MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 358 individuals, 68 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$185MMMay 2026358100%
Pelkonen and Associates
Wealth manager, Melville, NY.
Detail and sources for Pelkonen and Associates

Form ADV of Pelkonen and Associates LLC (CRD 305933), SEC registered adviser, filed , main office Melville, NY: regulatory assets $293MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 317 individuals, 131 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$293MMMar 2026317100%
Penbrook Management
Wealth manager, New York, NY.
Detail and sources for Penbrook Management

Form ADV of Penbrook Management LLC (CRD 127269), SEC registered adviser, filed , main office New York, NY: regulatory assets $175MM; 1 private fund, $9.3MM gross; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 74 individuals, 37 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$175MMMay 20268184%1
Perennial
Wealth manager, New York, NY.
Detail and sources for Perennial

Form ADV of Perennial Advisors, LLC (CRD 168859), SEC registered adviser, filed , main office New York, NY: regulatory assets $762MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Perennial Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 117 individuals, 111 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$762MMMar 202612397%
Pereon Wealth
Wealth manager, New York, NY.
Detail and sources for Pereon Wealth

Form ADV of Pereon Wealth LLC (CRD 338908), SEC registered adviser, filed : regulatory assets $181MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds and selection of other advisers. Clients (Item 5.D): 125 individuals, 75 of them high net worth; individuals hold 98% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$181MMMar 202613298%
Personal CFO Solutions
Wealth manager, Chester, NJ.
Detail and sources for Personal CFO Solutions

Form ADV of Personal CFO Solutions LLC (CRD 158248), SEC registered adviser, filed , main office Chester, NJ: regulatory assets $1.6BN; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 624 individuals, 387 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$1.6BNMar 202665399%
Personal Financial Solutions
Wealth manager, Manasquan, NJ.
Detail and sources for Personal Financial Solutions

Form ADV of Personal Financial Solutions, LLC (CRD 129095), SEC registered adviser, filed , main office Manasquan, NJ: regulatory assets $156MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 131 individuals, 39 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$156MMApr 2026131100%
The Pinnacle Financial Group
Wealth manager, Rockville Centre, NY.
Detail and sources for The Pinnacle Financial Group

Form ADV of The Pinnacle Financial Group (CRD 164395), SEC registered adviser, filed , main office Rockville Centre, NY: regulatory assets $1.4BN; 54 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Pinnacle Financial Group LLC (CRD 116600), registered adviser, filed , Western Springs, IL.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 3,150 individuals, 1,249 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$1.4BNMar 20263,20894%
Podell Financial Group
Wealth manager, Fairfield, NJ.
Detail and sources for Podell Financial Group

Form ADV of Podell Financial Group LLC (CRD 325383), SEC registered adviser, filed , main office Fairfield, NJ: regulatory assets $228MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 216 individuals, 32 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$228MMMar 202623684%
Point Windward Advisors
Wealth manager, New York, NY.
Detail and sources for Point Windward Advisors

Form ADV of Point Windward Advisors, Inc. (CRD 110457), SEC registered adviser, filed , main office New York, NY: regulatory assets $359MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, market timing and other services. Clients (Item 5.D): 278 individuals, 48 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$359MMJun 2026278100%
Polero Ice Advisers
Wealth manager, New York, NY.
Detail and sources for Polero Ice Advisers

Form ADV of Polero Ice Advisers (CRD 148790), SEC registered adviser, filed : regulatory assets $106MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 59 individuals, 37 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$106MMFeb 202659100%
The Portfolio Strategy Group
Wealth manager, White Plains, NY.
Detail and sources for The Portfolio Strategy Group

Form ADV of The Portfolio Strategy Group, LLC (CRD 166593), SEC registered adviser, filed , main office White Plains, NY: regulatory assets $2.6BN; 1 private fund, $48MM gross; 15 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 405 individuals, 359 of them high net worth; individuals hold 78% of its regulatory assets.

Files: SEC Form ADV.

$2.6BNMar 202648078%1
Prato Capital Management
Wealth manager, White Plains, NY.
Detail and sources for Prato Capital Management

Form ADV of Prato Capital Management, Inc. (CRD 289917), SEC registered adviser, filed , main office White Plains, NY: regulatory assets $225MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 273 individuals, 32 of them high net worth; individuals hold 69% of its regulatory assets.

Files: SEC Form ADV.

$225MMMar 202632669%
Precision Financial Services
Wealth manager, Mine Hill, NJ.
Detail and sources for Precision Financial Services

Form ADV of PFS Partners, LLC (CRD 147872), SEC registered adviser, filed , main office Mine Hill, NJ: regulatory assets $436MM; 16 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of PFS Partners, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 509 individuals, 111 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$436MMFeb 202652895%
Premier Path Wealth Partners
Wealth manager, Madison, NJ.
Detail and sources for Premier Path Wealth Partners

Form ADV of Premier Path Wealth Partners, LLC (CRD 325300), SEC registered adviser, filed , main office Madison, NJ: regulatory assets $1.2BN; 1 private fund, $0K gross; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Premier Path Wealth Partners, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, pension consulting and selection of other advisers. Clients (Item 5.D): 454 individuals, 233 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.2BNMay 202646398%1
Premier Wealth Advisors
Wealth manager, New York, NY.
Detail and sources for Premier Wealth Advisors

Form ADV of Premier Wealth Advisors, LLC (CRD 120358), SEC registered adviser, filed , main office New York, NY: regulatory assets $555MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: Premier Wealth Advisors, LLC (CRD 285510), registered adviser, filed , San Diego, CA.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 614 individuals, 251 of them high net worth; individuals hold 81% of its regulatory assets.

Files: SEC Form ADV.

$555MMMar 202664381%
Prestige Wealth Management Group
Wealth manager, Flemington, NJ.
Detail and sources for Prestige Wealth Management Group

Form ADV of Prestige Wealth Management Group, LLC (CRD 127381), SEC registered adviser, filed , main office Flemington, NJ: regulatory assets $666MM; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Prestige Wealth Management Group, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 440 individuals, 182 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$666MMMar 2026440100%
Prism Planning and Solutions Group
Wealth manager, White Plains, NY.
Detail and sources for Prism Planning and Solutions Group

Form ADV of PPSGRP LLC (CRD 340003), SEC registered adviser, filed , main office White Plains, NY: regulatory assets $157MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 426 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$157MMAug 2026426100%
Private Client Asset Management
Wealth manager, Massapequa, NY.
Detail and sources for Private Client Asset Management

Form ADV of Private Client Asset Management, Inc. (CRD 147052), SEC registered adviser, filed , main office Massapequa, NY: regulatory assets $181MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 244 individuals, 92 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$181MMApr 2026244100%
Private Client Group Asset Management
Wealth manager, Gladstone, NJ.
Detail and sources for Private Client Group Asset Management

Form ADV of PCG Asset Management, LLC (CRD 148208), SEC registered adviser, filed , main office Gladstone, NJ: regulatory assets $143MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 109 individuals, 44 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$143MMMar 2026109100%
Prospect Financial Services
Wealth manager, Melville, NY.
Detail and sources for Prospect Financial Services

Form ADV of Prospect Financial Services LLC (CRD 314154), SEC registered adviser, filed , main office Melville, NY: regulatory assets $431MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Prospect Financial Services LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 520 individuals, 74 of them high net worth; individuals hold 77% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$431MMMar 202661377%
Quantstreet Capital
Wealth manager, Rye, NY.
Detail and sources for Quantstreet Capital

Form ADV of Ebh Capital Management LLC (CRD 316095), SEC registered adviser, filed : regulatory assets $193MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, publications, educational seminars and other services. Clients (Item 5.D): 26 individuals, 19 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$193MMMar 202630100%
R. F. Lafferty & Co.
Wealth manager with a broker-dealer, New York, NY. Main office New York, NY; not in the totals.
Detail and sources for R. F. Lafferty & Co.

Form ADV of R. F. Lafferty & Co., Inc. (CRD 2498), SEC registered adviser, filed , main office New York, NY: regulatory assets $130MM; 80 employees.

Tied to this row by the CRD the list cites from the filing.

Main office New York, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 125 individuals, 125 of them high net worth; individuals hold 100% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$130MMSep 2026125100%
R.W. Roge & Company
Wealth manager, Bohemia, NY. Main office Bohemia, NY; not in the totals.
Detail and sources for R.W. Roge & Company

Form ADV of R.W. Roge & Company, Inc. (CRD 104645), SEC registered adviser, filed , main office Bohemia, NY: regulatory assets $419MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Bohemia, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 322 individuals, 121 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$419MMFeb 202633294%
RBC Capital Markets
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for RBC Capital Markets

Form ADV of RBC Capital Markets, LLC (CRD 31194), SEC registered adviser, filed , main office New York, NY: regulatory assets $310.4BN; 8,781 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 275,938 individuals, 12,350 of them high net worth; individuals hold 90% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$310.4BNSep 2026283,91090%
RDM Capital Associates
Wealth manager, Red Bank, NJ.
Detail and sources for RDM Capital Associates

Form ADV of RDM Capital Associates Inc. (CRD 106941), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $164MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 126 individuals, 49 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$164MMMar 202612794%
Re-Envision Wealth
Wealth manager, New York, NY.
Detail and sources for Re-Envision Wealth

Form ADV of Grid 202 LLC (CRD 299357), SEC registered adviser, filed , main office New York, NY: regulatory assets $137MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds and educational seminars. Clients (Item 5.D): 78 individuals, 29 of them high net worth; individuals hold 64% of its regulatory assets.

Files: SEC Form ADV.

$137MMMar 20269164%
Redwood Financial Planning
Wealth manager, Scotch Plains, NJ.
Detail and sources for Redwood Financial Planning

Form ADV of Redwood Financial Planning, LLC (CRD 291250), SEC registered adviser, filed , main office Scotch Plains, NJ: regulatory assets $389MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 621 individuals, 32 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$389MMApr 2026634100%
Regency Wealth Management
Wealth manager, Ramsey, NJ.
Detail and sources for Regency Wealth Management

Form ADV of Hudson Capital Management LLC (CRD 131208), SEC registered adviser, filed , main office Ramsey, NJ: regulatory assets $643MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Hudson Capital Management LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 287 individuals, 184 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$643MMMar 202631291%
Retirable
Wealth manager, New York, NY.
Detail and sources for Retirable

Form ADV of Retirable Inc. (CRD 307472), SEC registered adviser, filed , main office New York, NY: regulatory assets $301MM; 23 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 2,210 individuals, 257 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$301MMMar 20262,210100%
Revel Wealth Management
Wealth manager, Elmwood Park, NJ.
Detail and sources for Revel Wealth Management

Form ADV of Revel Wealth Management, LLC (CRD 340306), SEC registered adviser, filed , main office Elmwood Park, NJ: regulatory assets $259MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 49 individuals, 4 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$259MMJul 202649100%
Revolve Wealth Partners
Wealth manager, Hackensack, NJ.
Detail and sources for Revolve Wealth Partners

Form ADV of Revolve Wealth Partners, LLC (CRD 286643), SEC registered adviser, filed , main office Hackensack, NJ: regulatory assets $1.4BN; 19 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 674 individuals, 288 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$1.4BNAug 202669897%
RGA Investment Advisors
Wealth manager, Great Neck, NY.
Detail and sources for RGA Investment Advisors

Form ADV of RGA Investment Advisors, LLC (CRD 149171), SEC registered adviser, filed , main office Great Neck, NY: regulatory assets $101MM; 5 private funds, $16MM gross; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds and portfolio management for businesses and institutions. Clients (Item 5.D): 99 individuals, 19 of them high net worth; individuals hold 84% of its regulatory assets.

Files: SEC Form ADV.

$101MMJul 202610084%5
Ridgewood Investments
Wealth manager, Springfield, NJ.
Detail and sources for Ridgewood Investments

Form ADV of Ridgewood Investments LLC (CRD 121220), SEC registered adviser, filed , main office Springfield, NJ: regulatory assets $419MM; 7 private funds, $40MM gross; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 170 individuals, 56 of them high net worth; individuals hold 70% of its regulatory assets.

Files: SEC Form ADV.

$419MMApr 202629570%7
Rilex Capital
Wealth manager, Manasquan, NJ.
Detail and sources for Rilex Capital

Form ADV of Rilex Capital LLC (CRD 309783), SEC registered adviser, filed , main office Manasquan, NJ: regulatory assets $124MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 170 individuals, 38 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$124MMMay 2026170100%
Ritholtz Wealth Management
Wealth manager, New York, NY.
Detail and sources for Ritholtz Wealth Management

Form ADV of Ritholtz Wealth Management (CRD 168652), SEC registered adviser, filed , main office New York, NY: regulatory assets $9.4BN; 83 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR/A of Ritholtz Wealth Management, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 4,139 individuals, 1,445 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$9.4BNAug 20264,22194%
RMR Wealth Builders
Wealth manager, Montclair, NJ.
Detail and sources for RMR Wealth Builders

Form ADV of RMR Wealth Builders, Inc. (CRD 169005), SEC registered adviser, filed , main office Montclair, NJ: regulatory assets $2.9BN; 64 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of RMR Wealth Builders, Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 1,907 individuals, 464 of them high net worth; individuals hold 62% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.9BNApr 20262,09962%
Rock Harbor Partners
Wealth manager, Larchmont, NY.
Detail and sources for Rock Harbor Partners

Form ADV of Rock Harbor Partners LLC (CRD 322545), SEC registered adviser, filed , main office Larchmont, NY: regulatory assets $2.7BN; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and management of private funds. Clients (Item 5.D): 62 individuals, 62 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$2.7BNMar 20266396%
Rockline Wealth Management
Wealth manager, Islip Terrace, NY.
Detail and sources for Rockline Wealth Management

Form ADV of Rockline Wealth Management LLC (CRD 324004), SEC registered adviser, filed , main office Islip Terrace, NY: regulatory assets $750MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 861 individuals, 339 of them high net worth; individuals hold 86% of its regulatory assets.

Files: SEC Form ADV.

$750MMSep 202691886%
Roxbury Financial
Wealth manager, Mount Arlington, NJ.
Detail and sources for Roxbury Financial

Form ADV of Roxbury Financial LLC (CRD 330547), SEC registered adviser, filed , main office Mount Arlington, NJ: regulatory assets $180MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 239 individuals, 52 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$180MMFeb 202624590%
S.F. Ehrlich Associates
Wealth manager, Cranford, NJ. Main office Cranford, NJ; not in the totals.
Detail and sources for S.F. Ehrlich Associates

Form ADV of S.F. Ehrlich Associates, Inc. (CRD 121356), SEC registered adviser, filed , main office Cranford, NJ: regulatory assets $186MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Cranford, NJ; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 117 individuals, 55 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$186MMFeb 2026117100%
Sacks & Associates
Wealth manager, Warren, NJ.
Detail and sources for Sacks & Associates

Form ADV of Sacks & Associates, LLC (CRD 174909), SEC registered adviser, filed , main office Warren, NJ: regulatory assets $213MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 143 individuals, 66 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$213MMMar 2026144100%
Safran Wealth Advisors
Wealth manager, New York, NY.
Detail and sources for Safran Wealth Advisors

Form ADV of Safran Wealth Advisors, LLC (CRD 152161), SEC registered adviser, filed , main office New York, NY: regulatory assets $133MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 98 individuals, 47 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$133MMMar 202698100%
Saiph Capital
Wealth manager, Wyckoff, NJ.
Detail and sources for Saiph Capital

Form ADV of Saiph Capital, LLC (CRD 312119), SEC registered adviser, filed , main office Wyckoff, NJ: regulatory assets $459MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 225 individuals, 122 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$459MMApr 202622596%
Salvus Wealth Management
Wealth manager, Red Bank, NJ.
Detail and sources for Salvus Wealth Management

Form ADV of Salvus Wealth Management, LLC (CRD 171986), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $316MM; 7 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 195 individuals, 125 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$316MMJun 202619598%
Samalin Wealth
Wealth manager, Chappaqua, NY.
Detail and sources for Samalin Wealth

Form ADV of Samalin Investment Counsel, LLC (CRD 142214), SEC registered adviser, filed , main office Chappaqua, NY: regulatory assets $491MM; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Samalin Investment Counsel, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 539 individuals, 122 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$491MMJun 202654499%
Satovsky Asset Management
Wealth manager, New York, NY.
Detail and sources for Satovsky Asset Management

Form ADV of Satovsky Asset Management LLC (CRD 143519), SEC registered adviser, filed , main office New York, NY: regulatory assets $975MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 205 individuals, 149 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$975MMApr 202621696%
Sax Wealth Advisors
Wealth manager, Parsippany, NJ.
Detail and sources for Sax Wealth Advisors

Form ADV of Sax Wealth Advisors, LLC (CRD 119193), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $3.6BN; 1 private fund, $19MM gross; 39 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,596 individuals, 715 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$3.6BNAug 20261,65594%1
Schlosser Financial Services
Wealth manager, Seaside Park, NJ.
Detail and sources for Schlosser Financial Services

Form ADV of Schlosser Financial Services, Inc. (CRD 128809), SEC registered adviser, filed : regulatory assets $108MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 219 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$108MMAug 2026219100%
Schonfeld Wealth Management
Wealth manager, Brooklyn, NY.
Detail and sources for Schonfeld Wealth Management

Form ADV of Schonfeld Wealth Management, LLC (CRD 342323), SEC registered adviser, filed , main office Brooklyn, NY: regulatory assets $133MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 126 individuals, 97 of them high net worth; individuals hold 71% of its regulatory assets.

Files: SEC Form ADV.

$133MMSep 202615971%
Seabridge Investment Advisors
Wealth manager, Summit, NJ.
Detail and sources for Seabridge Investment Advisors

Form ADV of Seabridge Investment Advisors LLC (CRD 108681), SEC registered adviser, filed , main office Summit, NJ: regulatory assets $771MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Seabridge Investment Advisors LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 185 individuals, 123 of them high net worth; individuals hold 66% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$771MMJun 202620166%
Seacrest Wealth Management
Wealth manager, Purchase, NY.
Detail and sources for Seacrest Wealth Management

Form ADV of Seacrest Wealth Management, LLC (CRD 147092), SEC registered adviser, filed , main office Purchase, NY: regulatory assets $1.5BN; 47 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Seacrest Wealth Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,475 individuals, 373 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.5BNAug 20261,49898%
Seasons of Advice Wealth Management
Wealth manager, New York, NY.
Detail and sources for Seasons of Advice Wealth Management

Form ADV of Soa Wealth Advisors, LLC (CRD 310448), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.2BN; 20 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 891 individuals, 368 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$1.2BNMar 2026891100%
Settanni Financial
Wealth manager, Armonk, NY.
Detail and sources for Settanni Financial

Form ADV of Sutton Place Investors LLC (CRD 298989), SEC registered adviser, filed , main office Armonk, NY: regulatory assets $397MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 155 individuals, 50 of them high net worth; individuals hold 85% of its regulatory assets.

Files: SEC Form ADV.

$397MMSep 202616085%
SFI Advisors
Wealth manager, Montclair, NJ.
Detail and sources for SFI Advisors

Form ADV of SFI Advisors, LLC (CRD 287929), SEC registered adviser, filed , main office Montclair, NJ: regulatory assets $176MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and other services. Clients (Item 5.D): 304 individuals, 32 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$176MMMar 2026304100%
Shapiro Financial Security Group
Wealth manager, Hazlet, NJ.
Detail and sources for Shapiro Financial Security Group

Form ADV of Shapiro Financial Security Group, Inc. (CRD 120801), SEC registered adviser, filed , main office Hazlet, NJ: regulatory assets $153MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and educational seminars. Clients (Item 5.D): 137 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$153MMMar 2026137100%
Shelter Rock Management
Wealth manager, Jericho, NY.
Detail and sources for Shelter Rock Management

Form ADV of Shelter Rock Management, LLC (CRD 142739), SEC registered adviser, filed , main office Jericho, NY: regulatory assets $232MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 133 individuals, 91 of them high net worth; individuals hold 72% of its regulatory assets.

Files: SEC Form ADV.

$232MMMar 202614272%
Shikiar Asset Management
Wealth manager, New York, NY.
Detail and sources for Shikiar Asset Management

Form ADV of Shikiar Asset Management Inc. (CRD 107533), SEC registered adviser, filed , main office New York, NY: regulatory assets $564MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Shikiar Asset Management Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 135 individuals, 135 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$564MMMar 202614891%
Shore Point Advisors
Wealth manager, Brielle, NJ.
Detail and sources for Shore Point Advisors

Form ADV of Shore Point Advisors, LLC (CRD 296848), SEC registered adviser, filed , main office Brielle, NJ: regulatory assets $328MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Shore Point Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and other services. Clients (Item 5.D): 637 individuals, 91 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$328MMJul 202666895%
Shorehaven Wealth Partners
Wealth manager, Red Bank, NJ.
Detail and sources for Shorehaven Wealth Partners

Form ADV of Shorehaven Wealth Partners, LLC (CRD 308026), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $542MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Shorehaven Wealth Partners, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 376 individuals, 171 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$542MMJul 202639692%
Shufro, Rose & Co.
Wealth manager, New York, NY.
Detail and sources for Shufro, Rose & Co.

Form ADV of Shufro, Rose & Co., LLC (CRD 3403), SEC registered adviser, filed , main office New York, NY: regulatory assets $2.5BN; 27 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 1,207 individuals, 547 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$2.5BNApr 20261,33194%
Shulman Demeo Asset Management
Wealth manager, Lake Success, NY.
Detail and sources for Shulman Demeo Asset Management

Form ADV of Shulman Demeo Asset Management, LLC (CRD 142897), SEC registered adviser, filed , main office Lake Success, NY: regulatory assets $815MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 356 individuals, 176 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$815MMMar 2026356100%
Sicart Associates
Wealth manager, New York, NY.
Detail and sources for Sicart Associates

Form ADV of Sicart Associates, LLC (CRD 285275), SEC registered adviser, filed , main office New York, NY: regulatory assets $455MM; 1 private fund, $23MM gross; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 109 individuals, 91 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV.

$455MMApr 202611095%1
Signature Wealth Management Partners
Wealth manager, Montvale, NJ.
Detail and sources for Signature Wealth Management Partners

Form ADV of Signature Wealth Management Partners, LLC (CRD 298315), SEC registered adviser, filed , main office Montvale, NJ: regulatory assets $454MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 423 individuals, 107 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$454MMJul 202643299%
Signet Financial Management
Wealth manager, Parsippany, NJ.
Detail and sources for Signet Financial Management

Form ADV of Signet Financial Management, LLC (CRD 105310), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $1.2BN; 17 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Signet Financial Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 689 individuals, 320 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.2BNMar 202670794%
Silverberg Bernstein Capital Management
Wealth manager, Armonk, NY.
Detail and sources for Silverberg Bernstein Capital Management

Form ADV of Silverberg Bernstein Capital Management LLC (CRD 327151), SEC registered adviser, filed , main office Armonk, NY: regulatory assets $283MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 131 individuals, 33 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$283MMMar 202613597%
Silvercrest Asset Management Group
Wealth manager, New York, NY.
Detail and sources for Silvercrest Asset Management Group

Form ADV of Silvercrest Asset Management Group LLC (CRD 118333), SEC registered adviser, filed , main office New York, NY: regulatory assets $28.3BN; 12 private funds, $523MM gross; 175 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Silvercrest Asset Management Group LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 1,081 individuals, 1,081 of them high net worth; individuals hold 67% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$28.3BNMar 20261,20567%12
Sincerus Advisory
Wealth manager, New York, NY.
Detail and sources for Sincerus Advisory

Form ADV of Sincerus Advisory, LLC (CRD 300559), SEC registered adviser, filed : regulatory assets $222MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 158 individuals, 45 of them high net worth; individuals hold 79% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$222MMMar 202616979%
Smallwood Wealth Management
Wealth manager, Red Bank, NJ.
Detail and sources for Smallwood Wealth Management

Form ADV of Smallwood Wealth Investment Management, LLC (CRD 288663), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $339MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 441 individuals, 110 of them high net worth; individuals hold 89% of its regulatory assets.

Files: SEC Form ADV.

$339MMMar 202645889%
Snowden Capital Advisors
Wealth manager, New York, NY.
Detail and sources for Snowden Capital Advisors

Form ADV of Snowden Capital Advisors LLC (CRD 157299), SEC registered adviser, filed , main office New York, NY: regulatory assets $8.9BN; 154 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Snowden Capital Advisors LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 5,878 individuals, 1,580 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$8.9BNAug 20266,02197%
Snyder Wealth Group
Wealth manager, Medford, NY. Main office Medford, NY; not in the totals.
Detail and sources for Snyder Wealth Group

Form ADV of Mark J Snyder Financial Services Inc. (CRD 106425), SEC registered adviser, filed , main office Medford, NY: regulatory assets $382MM; 10 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Medford, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 599 individuals, 55 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$382MMApr 202660698%
Spielberger & Brooks
Wealth manager, Woodbury, NY.
Detail and sources for Spielberger & Brooks

Form ADV of Spielberger & Brooks, Inc. (CRD 147197), SEC registered adviser, filed , main office Woodbury, NY: regulatory assets $474MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 246 individuals, 177 of them high net worth; individuals hold 97% of its regulatory assets.

Files: SEC Form ADV.

$474MMSep 202625197%
Stash
Wealth manager, New York, NY.
Detail and sources for Stash

Form ADV of Stash Investments LLC (CRD 226550), SEC registered adviser, filed , main office New York, NY: regulatory assets $4.9BN; 124 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and publications. Clients (Item 5.D): 1,138,270 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$4.9BNSep 20261,138,270100%
Stawnychy Financial Services
Wealth manager, Kinnelon, NJ.
Detail and sources for Stawnychy Financial Services

Form ADV of Stawnychy Financial Services, Inc. (CRD 128859), SEC registered adviser, filed , main office Kinnelon, NJ: regulatory assets $131MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 116 individuals, 25 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV.

$131MMMar 202612187%
Stembrook Asset Management
Wealth manager, Red Bank, NJ.
Detail and sources for Stembrook Asset Management

Form ADV of Stembrook Asset Management, LLC (CRD 144116), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $148MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers and other services. Clients (Item 5.D): 36 individuals, 27 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$148MMMar 202637100%
Stephen J. Garry & Associates
Wealth manager, Garden City, NY. Main office Garden City, NY; not in the totals.
Detail and sources for Stephen J. Garry & Associates

Form ADV of Stephen J. Garry & Associates, LLC (CRD 295068), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $143MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Main office Garden City, NY; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 300 individuals, 70 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$143MMMar 2026300100%
Sterling Financial Planning
Wealth manager, Sparta, NJ.
Detail and sources for Sterling Financial Planning

Form ADV of Sterling Financial Planning Inc. (CRD 108664), SEC registered adviser, filed , main office Sparta, NJ: regulatory assets $761MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Sterling Financial Planning Inc., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and other services. Clients (Item 5.D): 562 individuals, 212 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$761MMSep 202657898%
Stern Capital Management
Wealth manager, Old Bridge, NJ.
Detail and sources for Stern Capital Management

Form ADV of Stern Capital Management, Inc. (CRD 124405), SEC registered adviser, filed , main office Old Bridge, NJ: regulatory assets $298MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 649 individuals, 67 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$298MMMar 2026656100%
Steven Feldstein & Associates
Wealth manager with a broker-dealer, Basking Ridge, NJ. Main office ; not in the totals.
Detail and sources for Steven Feldstein & Associates

Form ADV of Steven Feldstein & Associates (CRD 109022), SEC registered adviser, filed : regulatory assets $160MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Main office ; shown but not counted in the totals, charts or boards.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 526 individuals, 526 of them high net worth; individuals hold 100% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A). Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$160MMFeb 2026526100%
Stolzer Rothschild Levy
Wealth manager, Basking Ridge, NJ.
Detail and sources for Stolzer Rothschild Levy

Form ADV of Stolzer Rothschild Levy LLC (CRD 169817), SEC registered adviser, filed , main office Basking Ridge, NJ: regulatory assets $166MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and pension consulting. Clients (Item 5.D): 78 individuals, 33 of them high net worth; individuals hold 69% of its regulatory assets.

Files: SEC Form ADV.

$166MMMar 20269869%
Strategic Family Wealth Counselors
Wealth manager, Fairfield, NJ.
Detail and sources for Strategic Family Wealth Counselors

Form ADV of Strategic Family Wealth Counselors, L.L.C. (CRD 128199), SEC registered adviser, filed , main office Fairfield, NJ: regulatory assets $1.7BN; 14 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Strategic Family Wealth Counselors, L.L.C., quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 300 individuals, 150 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$1.7BNMar 202631295%
Summit Financial
Wealth manager, Parsippany, NJ.
Detail and sources for Summit Financial

Form ADV of Summit Financial, LLC (CRD 299322), SEC registered adviser, filed , main office Parsippany, NJ: regulatory assets $26.3BN; 490 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 17,809 individuals, 2,248 of them high net worth; individuals hold 89% of its regulatory assets.

Files: SEC Form ADV.

$26.3BNSep 202618,39389%
Summit Place Financial Advisors
Wealth manager, Summit, NJ.
Detail and sources for Summit Place Financial Advisors

Form ADV of Summit Place Financial Advisors,llc (CRD 147984), SEC registered adviser, filed , main office Summit, NJ: regulatory assets $300MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 59 individuals, 50 of them high net worth; individuals hold 98% of its regulatory assets.

Files: SEC Form ADV.

$300MMSep 20265998%
Sykon Capital
Wealth manager, Harrison, NY.
Detail and sources for Sykon Capital

Form ADV of Sykon Capital LLC (CRD 326728), SEC registered adviser, filed , main office Harrison, NY: regulatory assets $350MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Sykon Capital LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and other services. Clients (Item 5.D): 647 individuals, 390 of them high net worth; individuals hold 95% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$350MMSep 202666495%
Talisman Wealth Advisors
Wealth manager, Mountainside, NJ.
Detail and sources for Talisman Wealth Advisors

Form ADV of Talisman Wealth Advisors, LLC (CRD 313283), SEC registered adviser, filed , main office Mountainside, NJ: regulatory assets $251MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 141 individuals, 68 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$251MMMar 202614199%
Tandem Capital Management
Wealth manager, Woodcliff Lake, NJ.
Detail and sources for Tandem Capital Management

Form ADV of Tandem Capital Management Corp (CRD 107856), SEC registered adviser, filed , main office Woodcliff Lake, NJ: regulatory assets $280MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Tandem Capital Management Corp, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 84 individuals, 72 of them high net worth; individuals hold 87% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$280MMMar 20269387%
Taurus Financial
Wealth manager, Jersey City, NJ.
Detail and sources for Taurus Financial

Form ADV of Taurus Financial LLC (CRD 335067), SEC registered adviser, filed , main office Jersey City, NJ: regulatory assets $162MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 90 individuals, 87 of them high net worth; individuals hold 82% of its regulatory assets.

Files: SEC Form ADV.

$162MMSep 202612782%
TD Private Client Wealth
Wealth manager with a broker-dealer, New York, NY.
Detail and sources for TD Private Client Wealth

Form ADV of TD Private Client Wealth LLC (CRD 164484), SEC registered adviser, filed , main office New York, NY: regulatory assets $8.6BN; 671 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of TD Private Client Wealth LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications and educational seminars. Clients (Item 5.D): 25,351 individuals, 1,518 of them high net worth; individuals hold 80% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV, SEC Form 13F.

$8.6BNAug 202625,68580%
Tenon Financial
Wealth manager, Metuchen, NJ.
Detail and sources for Tenon Financial

Form ADV of Tenon Financial LLC (CRD 305581), SEC registered adviser, filed , main office Metuchen, NJ: regulatory assets $316MM; 3 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 99 individuals, 95 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$316MMJan 2026100100%
Teplitz Financial Group
Wealth manager, Old Bridge, NJ.
Detail and sources for Teplitz Financial Group

Form ADV of Teplitz Financial Group LLC (CRD 122038), SEC registered adviser, filed , main office Old Bridge, NJ: regulatory assets $132MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 168 individuals, 47 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$132MMSep 202618890%
Tepp Wealth Management
Wealth manager, Westfield, NJ.
Detail and sources for Tepp Wealth Management

Form ADV of Tepp RIA LLC (CRD 283899), SEC registered adviser, filed , main office Westfield, NJ: regulatory assets $196MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 149 individuals, 52 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$196MMMar 2026149100%
Tilson Financial Group
Wealth manager, New Providence, NJ.
Detail and sources for Tilson Financial Group

Form ADV of Tilson Financial Group Inc. (CRD 110890), SEC registered adviser, filed , main office New Providence, NJ: regulatory assets $751MM; 9 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 410 individuals, 180 of them high net worth; individuals hold 88% of its regulatory assets.

Files: SEC Form ADV.

$751MMAug 202643988%
Titan
Wealth manager, New York, NY.
Detail and sources for Titan

Form ADV of Titan Global Capital Management Usa LLC (CRD 290111), SEC registered adviser, filed , main office New York, NY: regulatory assets $1.1BN; 33 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 41,733 individuals, 2,862 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$1.1BNJun 202641,733100%
TLG Advisors
Wealth manager, Summit, NJ.
Detail and sources for TLG Advisors

Form ADV of TLG Advisors, Inc. (CRD 111052), SEC registered adviser, filed , main office Summit, NJ: regulatory assets $2.3BN; 290 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars and other services. Clients (Item 5.D): 5,018 individuals, 301 of them high net worth; individuals hold 94% of its regulatory assets.

Files: SEC Form ADV.

$2.3BNMar 20265,16194%
Tocqueville Asset Management
Wealth manager, New York, NY.
Detail and sources for Tocqueville Asset Management

Form ADV of Tocqueville Asset Management LP (CRD 105690), SEC registered adviser, filed , main office New York, NY: regulatory assets $10.2BN; 5 private funds, $234MM gross; 73 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Tocqueville Asset Management LP, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of registered funds, management of private funds, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 1,159 individuals, 741 of them high net worth; individuals hold 56% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$10.2BNMar 20261,27056%5
Tortoise Investment Management
Wealth manager, White Plains, NY.
Detail and sources for Tortoise Investment Management

Form ADV of Tortoise Investment Management, LLC (CRD 128723), SEC registered adviser, filed , main office White Plains, NY: regulatory assets $2.1BN; 21 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Tortoise Investment Management, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 504 individuals, 360 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.1BNMar 2026504100%
Tranquilli Financial Advisor
Wealth manager, Clinton, NJ.
Detail and sources for Tranquilli Financial Advisor

Form ADV of Tranquilli Financial Advisor, LLC (CRD 298056), SEC registered adviser, filed , main office Clinton, NJ: regulatory assets $199MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 221 individuals, 80 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$199MMMar 2026225100%
Transcend Capital Advisors
Wealth manager, Madison, NJ.
Detail and sources for Transcend Capital Advisors

Form ADV of Transcend Capital Advisors, LLC (CRD 299723), SEC registered adviser, filed , main office Madison, NJ: regulatory assets $2.9BN; 12 private funds, $360MM gross; 39 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Transcend Capital Advisors, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, pension consulting and selection of other advisers. Clients (Item 5.D): 1,073 individuals, 450 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.9BNJul 20261,09491%12
Traphagen Financial Group
Wealth manager, Oradell, NJ.
Detail and sources for Traphagen Financial Group

Form ADV of Traphagen Investment Advisors LLC (CRD 107764), SEC registered adviser, filed , main office Oradell, NJ: regulatory assets $2.3BN; 18 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Traphagen Investment Advisors LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 1,922 individuals, 561 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.3BNMar 20262,03891%
UBS Financial Services
Wealth manager with a broker-dealer, Weehawken, NJ.
Detail and sources for UBS Financial Services

Form ADV of UBS Financial Services Inc. (CRD 8174), SEC registered adviser, filed , main office Weehawken, NJ: regulatory assets $915.8BN; 12,524 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, security ratings and educational seminars. Clients (Item 5.D): 1,098,059 individuals, 853,775 of them high net worth; individuals hold 83% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$915.8BNAug 20261,144,58883%
Unified Retirement Planning Group
Wealth manager, Briarcliff Manor, NY.
Detail and sources for Unified Retirement Planning Group

Form ADV of Usonia Advisory Group, LLC (CRD 341550), SEC registered adviser, filed , main office Briarcliff Manor, NY: regulatory assets $197MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 152 individuals, 0 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$197MMSep 2026152100%
United Asset Strategies
Wealth manager, Garden City, NY.
Detail and sources for United Asset Strategies

Form ADV of United Asset Strategies Inc. (CRD 107434), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $2.2BN; 33 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting and selection of other advisers. Clients (Item 5.D): 1,577 individuals, 503 of them high net worth; individuals hold 92% of its regulatory assets.

Files: SEC Form ADV.

$2.2BNJul 20261,67392%
United Financial Planning Group
Wealth manager, Hauppauge, NY.
Detail and sources for United Financial Planning Group

Form ADV of United Financial Planning Group LLC (CRD 149843), SEC registered adviser, filed , main office Hauppauge, NY: regulatory assets $347MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of United Financial Planning Group LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 188 individuals, 112 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$347MMMay 2026188100%
Upstart Wealth Management
Wealth manager, New York, NY.
Detail and sources for Upstart Wealth Management

Form ADV of Upstart Wealth Management, LLC (CRD 173728), SEC registered adviser, filed : regulatory assets $386MM; 4 employees.

Tied to this row by the CRD the list cites from the filing.

Files a 13F notice (quarter ended , filed ): its holdings are reported on another manager's 13F.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 91 individuals, 61 of them high net worth; individuals hold 99% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV, SEC Form 13F.

$386MMJul 20269199%
Valley Wealth Managers
Wealth manager, Paramus, NJ.
Detail and sources for Valley Wealth Managers

Form ADV of Valley Wealth Managers, Inc. (CRD 108879), SEC registered adviser, filed , main office Paramus, NJ: regulatory assets $2.7BN; 54 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 854 individuals, 441 of them high net worth; individuals hold 77% of its regulatory assets.

Files: SEC Form ADV.

$2.7BNMar 202696977%
Vanderbilt Advisory Services
Wealth manager, Woodbury, NY.
Detail and sources for Vanderbilt Advisory Services

Form ADV of PFG Investments, LLC (CRD 116537), SEC registered adviser, filed , main office Woodbury, NY: regulatory assets $2.1BN; 161 employees.

Tied to this row by the CRD the list cites from the filing.

Possible match by name only, not counted: PFG Investments, LLC (CRD 289256), registered adviser, filed , Jacksonville, OR.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 6,199 individuals, 395 of them high net worth; individuals hold 96% of its regulatory assets.

Files: SEC Form ADV.

$2.1BNFeb 20266,47096%
Vaughan and Company Securities
Wealth manager, Ridgewood, NJ.
Detail and sources for Vaughan and Company Securities

Form ADV of Vaughan and Company Securities, Inc. (CRD 18826), SEC registered adviser, filed , main office Ridgewood, NJ: regulatory assets $219MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 190 individuals, 60 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$219MMMay 2026193100%
VCP Financial
Wealth manager, Staten Island, NY.
Detail and sources for VCP Financial

Form ADV of VCP Financial LLC (CRD 167901), SEC registered adviser, filed , main office Staten Island, NY: regulatory assets $143MM; 5 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and other services. Clients (Item 5.D): 385 individuals, 252 of them high net worth; individuals hold 78% of its regulatory assets.

Files: SEC Form ADV.

$143MMFeb 202641178%
Veneroso Wealth Management
Wealth manager, Woodbury, NY.
Detail and sources for Veneroso Wealth Management

Form ADV of Veneroso Wealth Management Inc. (CRD 342014), SEC registered adviser, filed , main office Woodbury, NY: regulatory assets $299MM; 1 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and portfolio management for businesses and institutions. Clients (Item 5.D): 362 individuals, 94 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$299MMAug 2026362100%
Vilga Financial Planning
Wealth manager, Fair Lawn, NJ.
Detail and sources for Vilga Financial Planning

Form ADV of Vilga Financial Planning LLC (CRD 311166), SEC registered adviser, filed : regulatory assets $169MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 19 individuals, 19 of them high net worth; individuals hold 100% of its regulatory assets. Placed by the city of its main office on its SEC record, since its Form ADV withholds the address as a residence.

Files: SEC Form ADV.

$169MMMar 202619100%
Virtus Wealth Solutions
Wealth manager, Cranford, NJ.
Detail and sources for Virtus Wealth Solutions

Form ADV of Innovative Financial Solutions NJ, LLC (CRD 332536), SEC registered adviser, filed , main office Cranford, NJ: regulatory assets $595MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Innovative Financial Solutions NJ, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 307 individuals, 109 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$595MMMar 202632593%
Vision Retirement
Wealth manager, Ridgewood, NJ.
Detail and sources for Vision Retirement

Form ADV of Vision Retirement, LLC (CRD 173064), SEC registered adviser, filed , main office Ridgewood, NJ: regulatory assets $634MM; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 1,106 individuals, 451 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$634MMJun 20261,11999%
The Wealth Alliance
Wealth manager, Melville, NY.
Detail and sources for The Wealth Alliance

Form ADV of The Wealth Alliance, LLC (CRD 305052), SEC registered adviser, filed , main office Melville, NY: regulatory assets $2.1BN; 29 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting and selection of other advisers. Clients (Item 5.D): 1,144 individuals, 443 of them high net worth; individuals hold 90% of its regulatory assets.

Files: SEC Form ADV.

$2.1BNJul 20261,23290%
The Wealth Boutique
Wealth manager, Chester, NJ.
Detail and sources for The Wealth Boutique

Form ADV of Women's Wealth Advisor (CRD 317291), SEC registered adviser, filed , main office Chester, NJ: regulatory assets $121MM; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, portfolio management for businesses and institutions and selection of other advisers. Clients (Item 5.D): 317 individuals, 27 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$121MMApr 2026317100%
Wealth Quarterback
Wealth manager, Toms River, NJ.
Detail and sources for Wealth Quarterback

Form ADV of Wealth Quarterback LLC (CRD 282967), SEC registered adviser, filed , main office Toms River, NJ: regulatory assets $391MM; 11 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Wealth Quarterback LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, pension consulting, selection of other advisers and educational seminars. Clients (Item 5.D): 1,111 individuals, 203 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$391MMMar 20261,11799%
Weber Asset Management
Wealth manager, Lake Success, NY.
Detail and sources for Weber Asset Management

Form ADV of Weber Asset Management, Inc. (CRD 106267), SEC registered adviser, filed , main office Lake Success, NY: regulatory assets $652MM; 8 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 405 individuals, 169 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$652MMMar 2026405100%
Westco Advisory Services
Wealth manager, Lynbrook, NY.
Detail and sources for Westco Advisory Services

Form ADV of Westco Advisory Services, Inc. (CRD 120755), SEC registered adviser, filed , main office Lynbrook, NY: regulatory assets $254MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 323 individuals, 77 of them high net worth; individuals hold 99% of its regulatory assets.

Files: SEC Form ADV.

$254MMFeb 202632499%
Williams Jones Wealth Management
Wealth manager, New York, NY.
Detail and sources for Williams Jones Wealth Management

Form ADV of Williams Jones Wealth Management, LLC (CRD 301925), SEC registered adviser, filed , main office New York, NY: regulatory assets $12.5BN; 8 private funds, $186MM gross; 52 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, management of private funds, portfolio management for businesses and institutions and other services. Clients (Item 5.D): 1,517 individuals, 1,335 of them high net worth; individuals hold 89% of its regulatory assets.

Files: SEC Form ADV.

$12.5BNApr 20261,75489%8
Wilmington Capital Securities
Wealth manager with a broker-dealer, Garden City, NY.
Detail and sources for Wilmington Capital Securities

Form ADV of Wilmington Capital Securities, LLC (CRD 133839), SEC registered adviser, filed , main office Garden City, NY: regulatory assets $277MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning and portfolio management for individuals. Clients (Item 5.D): 171 individuals, 31 of them high net worth; individuals hold 98% of its regulatory assets. It is also registered as a broker-dealer (Item 6.A).

Files: SEC Form ADV.

$277MMMar 202617798%
Wise Wealth Management
Wealth manager, New York, NY.
Detail and sources for Wise Wealth Management

Form ADV of Wise Wealth Management, LLC (CRD 133614), SEC registered adviser, filed , main office New York, NY: regulatory assets $130MM; 2 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 79 individuals, 37 of them high net worth; individuals hold 93% of its regulatory assets.

Files: SEC Form ADV.

$130MMMar 20267993%
Wiss Private Client Advisors
Wealth manager, Florham Park, NJ.
Detail and sources for Wiss Private Client Advisors

Form ADV of Wiss Private Client Advisors, LLC (CRD 286319), SEC registered adviser, filed , main office Florham Park, NJ: regulatory assets $1.2BN; 12 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and selection of other advisers. Clients (Item 5.D): 186 individuals, 130 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$1.2BNMar 2026186100%
Withum Wealth Management
Wealth manager, Red Bank, NJ.
Detail and sources for Withum Wealth Management

Form ADV of Pinnacle Wealth Management Advisory Group, LLC (CRD 158332), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $2.3BN; 13 employees.

Tied to this row by the CRD the list cites from the filing.

Listed stocks, Form 13F-HR of Pinnacle Wealth Management Advisory Group, LLC, quarter ended , filed .

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and pension consulting. Clients (Item 5.D): 755 individuals, 688 of them high net worth; individuals hold 91% of its regulatory assets.

Files: SEC Form ADV, SEC Form 13F.

$2.3BNOct 202679891%
Zoe Financial
Wealth manager, New York, NY.
Detail and sources for Zoe Financial

Form ADV of Zoe Financial, Inc. (CRD 285158), SEC registered adviser, filed , main office New York, NY: regulatory assets $283MM; 45 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals, selection of other advisers and other services. Clients (Item 5.D): 1,608 individuals, 29 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$283MMOct 20261,689100%
Zynergy Retirement Planning
Wealth manager, Red Bank, NJ.
Detail and sources for Zynergy Retirement Planning

Form ADV of Zynergy Retirement Planning (CRD 143861), SEC registered adviser, filed , main office Red Bank, NJ: regulatory assets $173MM; 6 employees.

Tied to this row by the CRD the list cites from the filing.

Services on its Form ADV (Item 5.G): financial planning, portfolio management for individuals and other services. Clients (Item 5.D): 172 individuals, 52 of them high net worth; individuals hold 100% of its regulatory assets.

Files: SEC Form ADV.

$173MMJun 2026172100%

Assets are the regulatory assets in the adviser's latest Form ADV (Item 5.F; solid bar). Clients are every client it counts (Item 5.D); Individuals is the share of its assets held for individuals, high net worth and other; private funds are the funds it advises (Item 7.B). Each pin opens the filing behind the figure. The square beside a name opens every figure with its filing and notes.

One firm holds 45% of the money

Five findings from the filings of the 343 firms counted.

  1. 45%

    of the $4,356.3 billion the 343 firms counted report is one firm's: Morgan Stanley. Without it, the other 342 report $2,394.5 billion.

    Assets, latest Form ADV of each; sums of filed figures

  2. $369MM

    is the median: half of the 343 report less, and 257 report under $1 billion.

    Assets, latest Form ADV of each

  3. 167

    private funds are advised by the firms counted; Aegis Capital advises the most, 32.

    Private funds on each Form ADV (Schedule D); sums of filed figures

  4. 47%

    of their assets is high net worth money; the next largest client type is other individuals, at 41%.

    Client types each adviser reports with its assets; sums of filed figures

  5. 93

    of the 343 have their main office in Manhattan; the next place is Westchester County, NY, with 36.

    Main office on each Form ADV

Questions

How many wealth management firms are there in New York?

This list holds 361 wealth management firms in the New York metro; 343 of them report regulatory assets on Form ADV, $4,356.3 billion together.

What are the largest wealth management firms in New York?

By the regulatory assets they report: Morgan Stanley $1,961.9 billion, UBS Financial Services $915.8 billion, J.P. Morgan Securities $429.7 billion, RBC Capital Markets $310.4 billion, Betterment $69.5 billion.

How much do wealth management firms in New York typically manage?

Of the 343 that report, the median reports $369 million in regulatory assets; 257 report under $1 billion.

How do you start a relationship with wealth management firms in New York?

Each figure on this page carries a pin that opens the firm's Form ADV, which names its services, its clients and how to reach it. For fund managers and companies raising capital, Praxis Rock runs capital formation programs; see Raise Capital.

Sources and method

Who is listed
361 wealth management firms, 342 are wealth managers and 19 are wealth managers with a broker-dealer. Every SEC registered adviser with a main office in New York-Newark-Jersey City, NY-NJ MSA (Census CBSA 35620) that reports $100 million or more in regulatory assets, half or more of them for individuals, less the firms our other lists carry as another kind.
Ranking rule
The top 20, every total, share and median, the charts and the answers to the questions use one set: the 343 advisers that report regulatory assets in their latest SEC Form ADV, with a main office in the New York metro, that the filing itself ties to the row (the CRD the list cites, or the row's own website in Item 1.I), one figure per adviser. A name match with no such tie is shown in the row's detail only, never ranked or counted.
Our arithmetic
The $4,356.3BN, the median, shares, charts and boards are sums and medians of filed numbers over that one set; 18 firms with a figure outside it stay listed with the figure and the reason.
Pins
Each figure's pin opens the filing it comes from: the adviser's Form ADV as filed, or the SEC filing index of its latest 13F report. The pin's label names the source and its date.
What we searched
On we read every firm's latest Form ADV in the SEC monthly file by its CRD and searched 13F reports by the CIK on its Form ADV record. Of the 361, 361 report on a current Form ADV and 84 file 13F reports.
Words
Each firm's kind is read from its Form ADV: a wealth manager advises individuals and offers financial planning (Items 5.D and 5.G); "also a broker-dealer" where Item 6.A is checked. Firm names only: no person, contact or website is shown.
Sources and dates
FigureSourcePeriod, read
Assets, private funds, client types, main office, employeesSEC Form ADV adviser data, October 2026 report, and each adviser's Form ADV as filed, 361 advisersFilings to 2026-10-01; read 2026-10-31
Reports of listed stocks (13F filer)SEC EDGAR Form 13F, 84 filers, by the CIK on each Form ADVLatest filing; read 2026-10-31
Main office to metroHUD USPS ZIP to county crosswalk, 2026 Q2, and the Census metro delineation, July 2023Read 2026-10-31
LogosNone shown: each firm has a monogramRead 2026-10-31

Cite as: Praxis Rock Advisors, "Wealth Management Firms (RIAs) in New York," updated October 31, 2026, praxisrock.com/resources/investors/wealth-management-firms-new-york

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