SEC Form ADV, by state
The largest investment adviser firms in New York
The current SEC Form ADV data lists 3,128 investment adviser firms headquartered in New York, of which 408 (13.0%) answered yes to at least one disciplinary or legal question on Form ADV Item 11. Below are the 50 largest by regulatory assets under management, a gross size measure each firm reports itself. Size is not a quality score, and no public record reports any firm's investment returns.
| Firm | City | Regulatory AUM | Fee methods | Item 11 disclosure |
|---|---|---|---|---|
| J.P. MORGAN INVESTMENT MANAGEMENT INC. | NEW YORK | $3.5T | % of AUMfixedperformance | yes, reported |
| GOLDMAN SACHS ASSET MANAGEMENT, L.P. | NEW YORK | $2.6T | % of AUMfixedperformanceother | yes, reported |
| MORGAN STANLEY | PURCHASE | $2.0T | % of AUMfixedperformancecommissionsother | yes, reported |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | NEW YORK | $1.8T | % of AUMfixedcommissions | yes, reported |
| BLACKROCK FINANCIAL MANAGEMENT, INC | NEW YORK | $1.6T | % of AUMfixedperformance | yes, reported |
| BLACKROCK ADVISORS, LLC | NEW YORK | $1.1T | % of AUM | yes, reported |
| MILLENNIUM MANAGEMENT LLC | NEW YORK | $721B | % of AUMperformanceother | yes, reported |
| APOLLO CAPITAL MANAGEMENT, L.P. | NEW YORK | $718B | % of AUMperformanceother | yes, reported |
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | NEW YORK | $702B | % of AUMfixedperformance | yes, reported |
| UBS ASSET MANAGEMENT (AMERICAS) LLC | NEW YORK | $588B | % of AUMfixedperformance | yes, reported |
| J.P. MORGAN PRIVATE INVESTMENTS INC. | NEW YORK | $470B | % of AUMperformanceother | yes, reported |
| TEACHERS ADVISORS, LLC | NEW YORK | $436B | % of AUMfixedperformanceother | yes, reported |
| J.P. MORGAN SECURITIES LLC | NEW YORK | $430B | % of AUMother | yes, reported |
| BNY MELLON INVESTMENT ADVISER, INC. | NEW YORK | $419B | % of AUM | yes, reported |
| KOHLBERG KRAVIS ROBERTS & CO. L.P. | NEW YORK | $400B | % of AUMperformance | yes, reported |
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | NEW YORK | $399B | % of AUMfixedperformance | yes, reported |
| NYL INVESTORS LLC | NEW YORK | $329B | % of AUMfixedperformanceother | yes, reported |
| RBC CAPITAL MARKETS, LLC | NEW YORK | $310B | % of AUMfixed | yes, reported |
| TIAA-CREF INVESTMENT MANAGEMENT LLC | NEW YORK | $292B | % of AUMfixedother | yes, reported |
| VOYA INVESTMENT MANAGEMENT CO. LLC | NEW YORK | $275B | % of AUMperformance | none reported |
| GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC | NEW YORK | $241B | % of AUMfixedperformance | yes, reported |
| TWO SIGMA INVESTMENTS, LP | NEW YORK | $233B | % of AUMperformance | yes, reported |
| SQUAREPOINT OPS LLC | NEW YORK | $227B | % of AUMperformanceother | yes, reported |
| SCHONFELD STRATEGIC ADVISORS LLC | NEW YORK | $225B | % of AUMperformanceother | yes, reported |
| JENNISON ASSOCIATES | NEW YORK | $215B | % of AUMperformance | none reported |
| D. E. SHAW & CO., L.P. | NEW YORK | $213B | % of AUMperformanceother | yes, reported |
| DWS INVESTMENT MANAGEMENT AMERICAS, INC. | NEW YORK | $200B | % of AUMfixedperformance | yes, reported |
| CLEARBRIDGE INVESTMENTS, LLC | NEW YORK | $185B | % of AUMperformance | yes, reported |
| BLACKSTONE ISG-I ADVISORS L.L.C. | NEW YORK | $184B | % of AUM | none reported |
| HPS INVESTMENT PARTNERS, LLC | NEW YORK | $176B | % of AUMperformance | yes, reported |
| INSIGHT INVESTMENT | NEW YORK | $171B | % of AUMperformance | yes, reported |
| FRANKLIN TEMPLETON FUND ADVISER, LLC | NEW YORK | $167B | % of AUMperformanceother | yes, reported |
| EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC | NEW YORK | $167B | % of AUM | yes, reported |
| ALPHADYNE ASSET MANAGEMENT LP | NEW YORK | $165B | % of AUMperformance | yes, reported |
| CERITY PARTNERS LLC | NEW YORK | $162B | % of AUMhourlyfixedperformance | none reported |
| MACKAY SHIELDS LLC | NEW YORK | $160B | % of AUMperformance | yes, reported |
| EXODUSPOINT CAPITAL MANAGEMENT, LP | NEW YORK | $159B | performanceother | none reported |
| HSBC GLOBAL ASSET MANAGEMENT (USA) INC. | NEW YORK | $157B | % of AUMperformance | yes, reported |
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC | NEW YORK | $150B | % of AUMperformance | none reported |
| ICAPITAL ADVISORS, LLC | NEW YORK | $150B | % of AUMfixedsubscription | none reported |
| MARINER INVESTMENT GROUP, LLC | NEW YORK | $150B | % of AUMperformance | none reported |
| BLACKSTONE MANAGEMENT PARTNERS L.L.C. | NEW YORK | $146B | % of AUMperformance | yes, reported |
| GLOBAL INFRASTRUCTURE MANAGEMENT, LLC | NEW YORK | $142B | % of AUMperformanceother | yes, reported |
| NUVEEN ALTERNATIVES ADVISORS LLC | NEW YORK | $142B | % of AUMperformance | yes, reported |
| APG ASSET MANAGEMENT US, INC | NEW YORK | $141B | % of AUMother | none reported |
| LMR PARTNERS LLC | NEW YORK | $140B | % of AUMperformanceother | yes, reported |
| FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC | NEW YORK | $140B | % of AUM | yes, reported |
| CAPULA INVESTMENT US LP | NEW YORK | $137B | other | none reported |
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | NEW YORK | $136B | % of AUMperformance | none reported |
| GOLDMAN SACHS & CO. LLC | NEW YORK | $134B | % of AUMfixedperformancecommissionsother | yes, reported |
Source: SEC Form ADV monthly data, firms reporting a New Yorkheadquarters address. Fee-method chips are the compensation arrangements each firm checked on Item 5.E; the disclosure column is the firm's own answer to Item 11. Click through to any firm for the full record and a link to its SEC detail page.
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