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INVESTORTRUST HUB

InvestorTrustHub · New York

New York Investment Adviser Intelligence

The Office of the New York Attorney General, Investor Protection Bureau, regulates broker-dealers, investment advisers, and related securities actors. This page organizes separate research lenses from accepted IAPD compilations and official OAG registration guidance. It does not rank advisers, score firms, or publish a Trust Score. A New York principal office is not New York state registration. New York registration is not SEC registration. Firm is not individual. New York DFS is not the state investment-adviser regulator.

We organize the evidence. You decide.

Research NY-headquartered SEC/IARD firmsVerify on IAPD

State of the record

Universe · Current · State ERA · Notice · As-of

3,152

Universe

SEC/IARD roster firms with a New York principal office. Not the state-RIA roster.

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Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = NY

Calculation. COUNT of roster firms with principal-office region NY = 3152. Raw compilation MainAddr=@State=NY = 3179 is a different extract.

Caveat. This is the national SEC/IARD roster overlay for firms that report a New York principal office on the reconciled 23,622-firm geography table (NY = 3,152). It is not the New York state-registered adviser universe, not a federal-covered notice-filing count, and not proof of current New York OAG Investor Protection Bureau authority. NEW YORK PRINCIPAL OFFICE != NEW YORK STATE REGISTRATION. These 3,152 firms already exist in the federal graph and are not net-new organizations. A raw compilation MainAddr=@State=NY count is a different extract and is not this overlay.

1,297

Current

New York state-registered investment-adviser firms (IAPD state compilation, APPROVED).

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Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_08_27_2026.xml.gz

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = NY

Calculation. 1297 New York StateRgstn rows; 1297 distinct firm CRDs; 1297 APPROVED; 0 TERMREQUEST. Filter is Rgltr/@Cd=NY, not address.

Caveat. IAPD state compilation firms with New York as the registration jurisdiction and status APPROVED. This is not an SEC RIA count, not a federal-covered notice-filing count, not an ERA count, and not the 3,152 principal-office overlay. Duplicate/multi-jurisdiction rows were collapsed to distinct firm CRD. State-only CRDs were not minted as public SEC firm profiles and were not added to the 23,622 SEC/IARD roster.

327

State ERA

New York state ERA reporting firms. ERA is not an RIA.

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Source. IA_FIRM_STATE_Feed_08_27_2026

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. New York state ERA reporting firm; ERA/Rgltr/@Cd=NY; distinct firm CRD

Calculation. 327 registration rows; 327 distinct firm CRDs; 327 ACTIVE; overlap with New York state IA = 0.

Caveat. State ERA reporting is not a New York state RIA and is not an SEC RIA. Overlap with state IA is zero in this extract.

5,856

Notice

SEC/IARD firms with a New York notice filing. Not state-RIA licensure.

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Source. IA_FIRM_SEC_Feed_08_27_2026

Source date. 2026-08-27

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=NY and status FILED

Calculation. 5856 notice rows; 5856 distinct CRDs with status FILED. Overlap with approved state IA = 27.

Caveat. Federal-covered / notice-filed is not New York state-RIA licensure. Notice-filed is not the 3,152 principal-office overlay. A New York principal office does not prove a current notice filing.

2026-08-27

As-of

IAPD compilations IA_FIRM_SEC_Feed_08_27_2026. Retrieval time is not sourceAsOf.

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Source. Committed NY-INV-001 public snapshot

Source date. 2026-09-10

Coverage. Deterministic generator

Grain. snapshot

Calculation. Fingerprint 99934341f3307ee0…

Caveat. Numbers on this page must match the generated snapshot. Retrieval time is not sourceAsOf.

New York OAG registration context

Official OAG FAQ: registration or notice filing is generally required when an investment adviser or solicitor has six or more New York clients, with exemptions and separate federally covered adviser treatment. This is regulatory context, not a determination that any particular firm is currently authorized. Do not infer a firm’s New York authority from address, principal office, guessed client counts, Form ADV marketing text, or name match.

Always verify current official records. This is not legal advice and does not determine whether any particular adviser must register.

Current verification paths

Current firm status comes from accepted IAPD/SEC data or official current IAPD, BrokerCheck, or OAG guidance. Interactive search was not enumerated. Search-only is not zero.

OAG Investor Protection research path

OAG Investor Protection Bureau handles a broad range of securities and investment matters (broker-dealers, investment advisers, issuers, crypto businesses, individuals, fraud schemes, and other securities actors). The public library is mixed-bureau, press-release and document oriented, not a clean IA enforcement census. No bounded OAG regulatory-activity dataset was acquired. Complete OAG regulatory-activity count is UNKNOWN, not zero. Missing census is not zero enforcement activity. This ticket attached zero exact CRD records and downloaded zero PDFs; those are execution counts, not an OAG action census. Name-only attachment is unsafe. OAG action is not an investment-adviser disciplinary census. Case is not a criminal conviction. Action count is not quality. No action found is not a clean record.

Coverage: PUBLIC_RESEARCH_PATH. Complete OAG regulatory-activity count is unknown — not zero. This ticket attached 0 exact CRD records and opened 0 PDFs; those are execution counts, not an OAG action census. Name-only is unsafe. No action found is not a clean record.

OAG Advocacy and Enforcement Actions library

What this page does not mean

  • 327 New York state ERA reporting firms are a separate source-defined class from the 1,297 approved New York state-registered IA firms. ERA is not an RIA.
  • It does not say New York has one investment-adviser total.
  • New York City is not a separate InvestorTrustHub route.
  • RAUM is not performance. Complaint is not a violation. OAG action is not an IA disciplinary census.
  • Search-only is not zero. No Trust Score. No ranking.