New investment advisers in New York
Adviser registrations that became effective in the last 45 days for firms whose main office is in New York: SEC-registered, SEC 120-day, exempt reporting and state-registered. Scored for compliance consultants, custodians, archiving, cyber, E&O and RIA software.
New exempt reporting adviser · 146New SEC-registered adviser · 94New SEC adviser (120-day rule) · 94New state-registered adviser · 312
47 registrations effective in the last 45 days matching your filters · page 1 of 1
| Score | Effective ↑ | Firm | Registration | Location | Employees | RAUM | Flags | Contact | Source |
|---|---|---|---|---|---|---|---|---|---|
| 65 | 2026-09-09 | HEIRMONT WEALTH MANAGEMENT CRD 344021 · 801-137258 | New SEC adviser (120-day rule) | Uniondale, NY | 2 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 63 | 2026-09-09 | BIG ROCK ADVISORS LLC CRD 330067 · 801-137259 | New SEC-registered adviser | Sag Harbor, NY | 3 | $28M | subscribers | IAPD | |
| 49 | 2026-09-09 | SR ABF ADVISORS LP CRD 343630 · 801-137256 | New SEC-registered adviser | New York, NY | 333 | $0 | No RAUM yet10+ employeesHas custody+2 | subscribers | IAPD |
| 49 | 2026-09-10 | RED EMBER CAPITAL CRD 343093 · 802-137483 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-10 | KELAI MANAGEMENT LLC CRD 343830 · 802-137489 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 73 | 2026-09-11 | BYREFORGE MANAGEMENT, LP CRD 340666 · 801-137170 | New SEC adviser (120-day rule) | New York, NY | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetBroker-dealer affiliate+1 | subscribers | IAPD |
| 58 | 2026-09-11 | FMAC MANAGEMENT LLC CRD 337946 · 801-137271 | New SEC adviser (120-day rule) | New York, NY | 9 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliateDisciplinary disclosure+1 | subscribers | IAPD |
| 62 | 2026-09-14 | NOVERA WEALTH, INC. CRD 343978 · 801-137307 | New SEC adviser (120-day rule) | New York, NY | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 51 | 2026-09-14 | ABG & CO INVESTMENT MANAGEMENT LLC CRD 341763 · 802-137511 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed+1 | subscribers | IAPD |
| 49 | 2026-09-14 | ENGLISH RIVER LLC CRD 342605 · 802-137512 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 46 | 2026-09-14 | EMBERSTONE CAPITAL INC. CRD 344508 · 802-137509 | New exempt reporting adviser | Albany, NY | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 49 | 2026-09-21 | KDSA INVESTMENT PARTNERS, LLC CRD 344186 · 802-137568 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-21 | ALL ABOARD INVESTMENT MANAGEMENT COMPANY CRD 341635 · 802-137561 | New exempt reporting adviser | New York City, NY | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 43 | 2026-09-21 | KDSA INVESTMENT PARTNERS, LLC CRD 344186 · 802-137568 | New state-registered adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 35 | 2026-09-21 | LIBRIS CAPITAL MANAGEMENT LLC CRD 343719 | New state-registered adviser | New York, NY | 1 | $0 | No RAUM yetPerformance fees | subscribers | IAPD |
| 68 | 2026-09-22 | FORVM GLOBAL INVESTMENTS LLC CRD 340612 · 801-137477 | New SEC adviser (120-day rule) | New York, NY | 4 | — | 120-day rule (must reach $100M RAUM)Performance fees | subscribers | IAPD |
| 63 | 2026-09-22 | BLUEROCK ETF ADVISOR, LLC CRD 344162 · 801-137333 | New SEC-registered adviser | New York, NY | 5 | — | Broker-dealer affiliateNo website listed | subscribers | IAPD |
| 43 | 2026-09-24 | CAPFLOW GROUP INC. CRD 337653 | New state-registered adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 87 | 2026-09-25 | COLLABORATIVE FUND MANAGEMENT LLC CRD 167366 · 801-137384 | New SEC-registered adviser | New York, NY | 30 | $1.8B | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 65 | 2026-09-25 | CAMBIAL PARTNERS LP CRD 343375 · 801-137388 | New SEC adviser (120-day rule) | New York, Ny, NY | 3 | — | 120-day rule (must reach $100M RAUM)Performance fees | subscribers | IAPD |
| 51 | 2026-09-25 | DAISHIN AMERICA LLC CRD 344790 · 802-137599 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed | subscribers | IAPD |
| 65 | 2026-09-28 | AEGIS GUILD CAPITAL, LLC CRD 339354 · 801-137129 | New SEC adviser (120-day rule) | New York, NY | 5 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetNo website listed | subscribers | IAPD |
| 49 | 2026-09-28 | ACTIONS CAPITAL MANAGERS LLC CRD 341513 · 802-137606 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsVenture capital adviser | subscribers | IAPD |
| 43 | 2026-09-28 | ACTIONS CAPITAL MANAGERS LLC CRD 341513 · 802-137606 | New state-registered adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 68 | 2026-09-29 | LORUM ADVISORY LLC CRD 344055 · 801-137408 | New SEC adviser (120-day rule) | New York, NY | 4 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet | subscribers | IAPD |
| 49 | 2026-09-30 | BSCM CRD 342312 · 802-137633 | New exempt reporting adviser | Woodmere, NY | — | — | Advises private funds | subscribers | IAPD |
| 49 | 2026-09-30 | ONE ORCHARD LLC CRD 344610 · 802-137625 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 87 | 2026-10-01 | COEFFICIENT CAPITAL CRD 299097 · 801-137422 | New SEC-registered adviser | New York, NY | 10 | $735M | Advises private funds10+ employeesHas custody+1 | subscribers | IAPD |
| 71 | 2026-10-01 | PLETTENBERG CAPITAL MANAGEMENT, LLC CRD 342946 · 801-137416 | New SEC-registered adviser | New York, NY | 2 | $51M | Advises private fundsHas custodyPerformance fees | subscribers | IAPD |
| 51 | 2026-10-01 | LPS SPV MANAGER, LLC CRD 344577 · 802-137644 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed | subscribers | IAPD |
| 65 | 2026-10-06 | ARRIVED CRD 343847 · 801-137448 | New SEC adviser (120-day rule) | New York, NY | 3 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 49 | 2026-10-06 | DEEP OCEAN CAPITAL MANAGEMENT LP CRD 344685 · 802-137664 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 71 | 2026-10-08 | DRAGONARCH PARTNERS CRD 343654 · 801-137446 | New SEC adviser (120-day rule) | New York, NY | 13 | — | 120-day rule (must reach $100M RAUM)10+ employeesPerformance fees | subscribers | IAPD |
| 32 | 2026-10-09 | MAXIMFORTE PRIVATE WEALTH LLC CRD 342663 | New state-registered adviser | New York, NY | 1 | $0 | No RAUM yetNo website listed | subscribers | IAPD |
| 49 | 2026-10-13 | 404 ENDEAVORS WIZARD INVEST MANAGER, INC. CRD 344848 · 802-137705 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 46 | 2026-10-15 | GUDO PARTNERS LLC CRD 317932 · 802-137725 | New exempt reporting adviser | New York, NY | — | — | Advises private fundsNo website listed | subscribers | IAPD |
| 65 | 2026-10-16 | STEWART ADVISORY SERVICES, INC. CRD 344426 · 801-137545 | New SEC adviser (120-day rule) | Elmira, NY | 1 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yetHas custody | subscribers | IAPD |
| 65 | 2026-10-16 | TENGROVE LLC CRD 344503 · 801-137546 | New SEC adviser (120-day rule) | New York, NY | 2 | — | 120-day rule (must reach $100M RAUM) | subscribers | IAPD |
| 55 | 2026-10-16 | SINDARIN CAPITAL LLC CRD 344079 · 801-137548 | New SEC-registered adviser | Fairport, NY | 1 | — | No website listed | subscribers | IAPD |
| 76 | 2026-10-19 | PEAK6 ADVISORY SERVICES CRD 343264 · 801-137283 | New SEC adviser (120-day rule) | New York, NY | 14 | — | 120-day rule (must reach $100M RAUM)Broker-dealer affiliate10+ employees+2 | subscribers | IAPD |
| 58 | 2026-10-19 | BUILDSAINTS CRD 344466 · 801-137444 | New SEC-registered adviser | New York, NY | 1 | $0 | No RAUM yet | subscribers | IAPD |
| 45 | 2026-10-19 | MOGUL ADVISORS LLC CRD 345076 | New state-registered adviser | New York, NY | — | — | Advises private fundsBroker-dealer affiliateNo website listed | subscribers | IAPD |
| 49 | 2026-10-21 | LIVELLO CAPITAL MANAGEMENT LP CRD 305403 · 802-137769 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 38 | 2026-10-21 | VISIONS ANALYSIS LLC CRD 286678 | New state-registered adviser | Endicott, NY | 4 | — | subscribers | IAPD | |
| 71 | 2026-10-22 | SELECT WEALTH PARTNERS CRD 344024 · 801-137574 | New SEC adviser (120-day rule) | Middletown, NY | 19 | $0 | 120-day rule (must reach $100M RAUM)No RAUM yet10+ employees | subscribers | IAPD |
| 49 | 2026-10-22 | BEGIN CAPITAL MANAGEMENT CRD 344831 · 802-137775 | New exempt reporting adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
| 43 | 2026-10-22 | CONTRARIAN ALPHA MANAGEMENT, LLC CRD 345133 | New state-registered adviser | New York, NY | — | — | Advises private funds | subscribers | IAPD |
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