Top RIAs in New York
Every SEC-registered RIA with a main office in New York, by regulatory AUM, from Form ADV
2,581 RIAs registered with the SEC are headquartered in New York, the most of any state, managing $37.66T in regulatory assets as of Sep 1, 2026. The largest by regulatory AUM is J.P. Morgan Investment Management Inc. in New York at $3.52T. 1,146 firms report $1 billion or more.
2,581
SEC-registered RIAs
$37.66T
Regulatory AUM
1,146
Firms at $1B and above
$749.6M
Median firm AUM
Data as of Sep 1, 2026, file ia09012026-registered.zip. Retrieved Sep 10, 2026.
01 · The firms
Every SEC-registered RIA in New York, by regulatory AUM
The default sort is regulatory assets under management as each firm filed it, which puts asset managers and wealth managers on one list. The toggle for firms where individuals and high-net-worth individuals hold the majority of assets is what separates them, using the firm's own Form ADV Item 5.D figures.
The 500 largest of 2,581 firms by regulatory AUM as filed.
| # | Firm | City | Regulatory AUM | Advisory staff | Accounts | Individual + HNW clients | Retail share | Filed |
|---|---|---|---|---|---|---|---|---|
| 1 | J.P. Morgan Investment Management Inc.CRD 107038 | New York | $3.52T | 2,260 | 132,150 | 15 | 0% | Aug 2026 |
| 2 | Goldman Sachs Asset Management, L.P.CRD 107738 | New York | $2.65T | 1,379 | 249,499 | 105,268 | 14% | Aug 2026 |
| 3 | Morgan StanleyCRD 149777 | Purchase | $1.96T | 13,000 | 2,703,720 | 2,644,338 | 90% | Aug 2026 |
| 4 | Merrill Lynch, Pierce, Fenner & Smith IncorporatedCRD 7691 | New York | $1.78T | 25,721 | 3,253,265 | 1,791,731 | 87% | Aug 2026 |
| 5 | BlackRock Financial Management, IncCRD 107105 | New York | $1.60T | 889 | 2,283 | 70 | 0% | Aug 2026 |
| 6 | BlackRock Advisors, LLCCRD 106614 | New York | $1.10T | 137 | 305 | n.d. | 0% | May 2026 |
| 7 | Millennium Management LLCCRD 158117 | New York | $720.8B | 3,055 | 35 | n.d. | 0% | Aug 2026 |
| 8 | Apollo Capital Management, L.P.CRD 143161 | New York | $718.5B | 912 | 803 | 0 | 0% | Aug 2026 |
| 9 | Morgan Stanley Investment Management Inc.CRD 110353 | New York | $702.2B | 250 | 22,803 | 0 | 0% | Aug 2026 |
| 10 | UBS Asset Management (Americas) LLCCRD 106838 | New York | $588.2B | 260 | 433,784 | 415,328 | 34% | Jul 2026 |
| 11 | J.P. Morgan Private Investments Inc.CRD 110186 | New York | $470.0B | 96 | 1,278,255 | 1,262,641 | 66% | Jun 2026 |
| 12 | J.P. Morgan Securities LLCCRD 79 | New York | $429.7B | 8,479 | 1,246,646 | 1,234,172 | 91% | Jul 2026 |
| 13 | BNY Mellon Investment Adviser, Inc.CRD 105642 | New York | $419.5B | 14 | 91 | n.d. | 0% | Jun 2026 |
| 14 | Kohlberg Kravis Roberts & Co. L.P.CRD 144533 | New York | $399.9B | 706 | 227 | 0 | 0% | Jun 2026 |
| 15 | Neuberger Berman Investment Advisers LLCCRD 124687 | New York | $398.6B | 646 | 43,954 | 39,776 | 18% | Mar 2026 |
| 16 | NYL Investors LLCCRD 169553 | New York | $329.2B | 189 | 104 | n.d. | 0% | Aug 2026 |
| 17 | RBC Capital Markets, LLCCRD 31194 | New York | $310.4B | 5,908 | 511,871 | 275,938 | 90% | Aug 2026 |
| 18 | TIAA-CREF Investment Management LLCCRD 107168 | New York | $292.1B | 296 | 8 | n.d. | 0% | Mar 2026 |
| 19 | Voya Investment Management Co. LLCCRD 106494 | New York | $274.9B | 317 | 519 | 40 | 1% | Mar 2026 |
| 20 | Guggenheim Partners Investment Management, LLCCRD 137432 | New York | $240.7B | 166 | 440 | 215 | 0% | Jul 2026 |
| 21 | Two Sigma Investments, LPCRD 137137 | New York | $232.8B | 784 | 42 | 0 | 0% | Mar 2026 |
| 22 | Squarepoint OPS LLCCRD 172116 | New York | $227.0B | 61 | 28 | n.d. | 0% | Aug 2026 |
| 23 | Schonfeld Strategic Advisors LLCCRD 281984 | New York | $225.3B | 344 | 39 | n.d. | 0% | Jul 2026 |
| 24 | Jennison AssociatesCRD 107959 | New York | $214.8B | 66 | 6,083 | 5,356 | 1% | Mar 2026 |
| 25 | D. E. Shaw & Co., L.P.CRD 108679 | New York | $213.4B | 526 | 23 | n.d. | 0% | Aug 2026 |
| 26 | DWS Investment Management Americas, Inc.CRD 104518 | New York | $199.7B | 91 | 550 | 7 | 0% | Jul 2026 |
| 27 | Clearbridge Investments, LLCCRD 137028 | New York | $184.8B | 71 | 12,530 | 122,946 | 26% | Aug 2026 |
| 28 | Blackstone Isg-I Advisors L.L.C.CRD 289202 | New York | $183.5B | 44 | 44 | 0 | 0% | Mar 2026 |
| 29 | Mariner Investment Group, LLCCRD 124744 | New York | $176.3B | 89 | 39 | n.d. | 0% | Aug 2026 |
| 30 | HPS Investment Partners, LLCCRD 282125 | New York | $175.7B | 402 | 293 | 0 | 0% | May 2026 |
| 31 | Insight InvestmentCRD 145995 | New York | $171.1B | 112 | 1,879 | 1,238 | 3% | Jun 2026 |
| 32 | Franklin Templeton Fund Adviser, LLCCRD 140432 | New York | $167.4B | 0 | 125 | n.d. | 0% | Dec 2025 |
| 33 | Equitable Investment Management Group, LLCCRD 156933 | New York | $167.2B | 11 | 113 | n.d. | 0% | Mar 2026 |
| 34 | Alphadyne Asset Management LPCRD 154176 | New York | $164.8B | 35 | 3 | n.d. | 0% | Mar 2026 |
| 35 | Cerity Partners LLCCRD 151559 | New York | $161.7B | 1,102 | 26,230 | 24,945 | 71% | Jul 2026 |
| 36 | Mackay Shields LLCCRD 107717 | New York | $159.5B | 73 | 366 | 25 | 2% | Aug 2026 |
| 37 | Exoduspoint Capital Management, LPCRD 294156 | New York | $159.4B | 332 | 6 | 0 | 0% | Aug 2026 |
| 38 | HSBC Global Asset Management (USA) Inc.CRD 105686 | New York | $156.6B | 65 | 95 | 0 | 0% | Jun 2026 |
| 39 | Schroder Investment Management North America IncCRD 105820 | New York | $150.4B | 110 | 426 | 31 | 0% | Mar 2026 |
| 40 | Icapital Advisors, LLCCRD 177513 | New York | $149.9B | 46 | 1,314 | n.d. | 0% | Aug 2026 |
| 41 | Blackstone Management Partners L.L.C.CRD 136979 | New York | $145.7B | 195 | 36 | 0 | 0% | Mar 2026 |
| 42 | Global Infrastructure Management, LLCCRD 157434 | New York | $142.2B | 239 | 168 | 0 | 0% | May 2026 |
| 43 | Nuveen Alternatives Advisors LLCCRD 160255 | New York | $142.0B | 27 | 57 | 0 | 0% | Apr 2026 |
| 44 | APG Asset Management US, IncCRD 160795 | New York | $141.3B | 100 | 44 | n.d. | 0% | Mar 2026 |
| 45 | LMR Partners LLCCRD 292183 | New York | $140.1B | 66 | 9 | n.d. | 0% | Aug 2026 |
| 46 | Franklin Templeton Private Portfolio Group, LLCCRD 142219 | New York | $139.9B | 2 | 179,726 | 175,905 | 56% | Aug 2026 |
| 47 | Capula Investment US LPCRD 157589 | New York | $137.4B | 51 | 8 | n.d. | 0% | Jun 2026 |
| 48 | First Eagle Investment Management, LLCCRD 108260 | New York | $136.5B | 46 | 44 | n.d. | 0% | Aug 2026 |
| 49 | Goldman Sachs & Co. LLCCRD 361 | New York | $133.6B | 1,765 | 46,269 | 29,104 | 38% | Jul 2026 |
| 50 | Aflac Asset Management LLCCRD 304316 | New York | $133.5B | 39 | 12 | n.d. | 0% | Mar 2026 |
02 · By city
Where in New York the firms sit
Main-office city as filed. Up to the twenty-five cities with the most firms.
- New York1,990 · $35.14T
- Rochester26 · $16.7B
- Brooklyn25 · $10.4B
- Pittsford25 · $21.0B
- White Plains24 · $15.1B
- Buffalo19 · $13.5B
- Garden City18 · $9.0B
- Melville17 · $9.6B
- Albany15 · $7.4B
- Williamsville15 · $6.7B
- Purchase14 · $1.99T
- Rye Brook13 · $36.1B
- Saratoga Springs13 · $5.6B
- New York City11 · $41.8B
- Rye11 · $36.9B
- Hauppauge10 · $3.8B
- Great Neck9 · $4.8B
- Syracuse8 · $6.1B
- Fairport7 · $17.6B
- Harrison7 · $3.0B
- Victor7 · $2.6B
- Armonk6 · $1.6B
- Corning6 · $1.4B
- Staten Island6 · $546.8M
- Uniondale6 · $12.3B
03 · Questions
Questions people ask about RIAs in New York
- How many RIAs are in New York?
- 2,581 RIAs registered with the SEC list a main office in New York in the SEC's Form ADV data as of Sep 1, 2026. That count excludes state-registered RIAs, which generally manage under $100 million and file with the state rather than the SEC, and firms whose address is suppressed on Form ADV.
- What is the largest RIA in New York?
- By regulatory assets under management as filed on Form ADV, the largest SEC-registered RIA headquartered in New York is J.P. Morgan Investment Management Inc. in New York, at $3.52T. Regulatory AUM counts all assets a firm manages, so the largest filer in a state is often an asset manager rather than a wealth manager.
- How many New York RIAs manage more than $1 billion?
- 1,146 of the 2,581 SEC-registered RIAs headquartered in New York report regulatory assets under management of $1 billion or more. The median firm in the state reports $749.6M.
- Where does this data come from?
- From the SEC's monthly Form ADV data file for SEC-registered investment advisers (ia09012026-registered.zip, data as of Sep 1, 2026). Each figure is as the firm itself reported it on Form ADV Item 5; the SEC does not verify it. Every row links to the firm's record on the SEC's Investment Adviser Public Disclosure site.
Definitions and source
What each column means, in the SEC's words
- Regulatory assets under management Form ADV Item 5.F(2)(c)
- If yes, what is the amount of your regulatory assets under management and total number of accounts? Total, discretionary plus non-discretionary.
- Total accounts Form ADV Item 5.F(2)(f)
- Total number of accounts, discretionary plus non-discretionary.
- Employees Form ADV Item 5.A
- Approximately how many employees do you have? Include full- and part-time employees but do not include any clerical workers.
- Advisory employees Form ADV Item 5.B(1)
- Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research)?
- Broker-dealer registered representatives Form ADV Item 5.B(2)
- Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer?
- Individual and high-net-worth clients Form ADV Item 5.D(a), 5.D(b)
- Number of clients and amount of regulatory assets under management for individuals (other than high net worth individuals) and for high net worth individuals.
- Commissions Form ADV Item 5.E(5)
- You are compensated for your investment advisory services by (check all that apply): (5) Commissions.
- Private funds Form ADV Item 7.B
- Are you an adviser to any private fund?
Source: U.S. Securities and Exchange Commission, Form ADV data, Information About Registered Investment Advisers and Exempt Reporting Advisers, file ia09012026-registered.zip (data as of Sep 1, 2026), retrieved Sep 10, 2026. Figures are as self-reported by each firm on Form ADV Item 5; the SEC does not verify them. Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we can not guarantee its accuracy.
Winthrop & Co. is compensated by firms when an advisor joins through us. The advisor never pays. Firms on this page are listed by arithmetic on the SEC's file, not by any relationship with us, and none is ranked, labelled or recommended.