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WBI INVESTMENTS, LLC
CRD 106336File 801-22873
APPROVED
Retail clients
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$539.6M
Above cohort median (national)
Discretionary AUM
$539.6M
Clients
770
1,533 accounts
Employees
13
Above cohort median in NJ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 12, 1985
- Principal office
- ONE RIVER CENTRE - 331 NEWMAN SPRINGS ROAD, SUITE 143, RED BANK, NJ, 07701
- Phone
- 732-842-4920
- Website
- https://www.wbietfs.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $539.6M
- Discretionary AUM
- $539.6M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,533
- Non-discretionary accounts
- 0
- Total accounts
- 1,533
- AUM per client
- $701K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 3 | $2.8M |
| Investment companies | 1 | $140.5M |
| Charitable organizations | 4 | $1.3M |
| High net worth individuals | 58 | $130.5M |
| Pooled investment vehicles | 1 | $160K |
| Pension and profit sharing plans | 2 | $2.9M |
| Individuals (other than high net worth individuals) | 701 | $146.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Educational seminars
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 796 | 770 | decreased by26 |
| Apr 1, 2026 | Clients | 764 | 796 | increased by32 |
| Apr 1, 2026 | AUM | $552,633,525 | $539,568,586 | decreased by$13,064,939 |
| Apr 1, 2026 | Accounts | 1,328 | 1,533 | increased by205 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 23 | 13 | decreased by10 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,003 | 764 | decreased by239 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $662,838,134 | $552,633,525 | decreased by$110,204,609 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,442 | 1,328 | decreased by114 |
| Apr 1, 2022 | Clients | 1,442 | 1,003 | decreased by439 |
| Apr 1, 2022 | AUM | $509,920,420 | $662,838,134 | increased by$152,917,714 |
| Mar 1, 2022 | Employees | 26 | 23 | decreased by3 |
| Mar 1, 2022 | Clients | 1,618 | 1,442 | decreased by176 |
| Mar 1, 2022 | AUM | $538,333,774 | $509,920,420 | decreased by$28,413,354 |
| Mar 1, 2022 | Accounts | 1,669 | 1,442 | decreased by227 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WBI INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WBI INVESTMENTS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.