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FNY INVESTMENT ADVISERS, LLC
CRD 295433File 801-113067
APPROVED
Custody
Disclosure events
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.91B
Top 25% of cohort (national)
Discretionary AUM
$2.91B
Clients
1
1 accounts
Employees
132
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 27, 2018
- Principal office
- 1540 BROADWAY, SUITE 1600, NEW YORK, NY, 10036
- Phone
- (212) 848-0600
- Website
- HTTP://WWW.FIRSTNY.COM/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.91B
- Discretionary AUM
- $2.91B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1
- Non-discretionary accounts
- 0
- Total accounts
- 1
- AUM per client
- $2.91B
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 1 | $2.91B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11C5
- Q11E2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 134 | 132 | decreased by2 |
| Apr 1, 2026 | AUM | $3,067,994,213 | $2,914,340,867 | decreased by$153,653,346 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 120 | 134 | increased by14 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2 | 1 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,592,201,089 | $3,067,994,213 | increased by$475,793,124 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2 | 1 | decreased by1 |
| Apr 1, 2022 | Employees | 160 | 120 | decreased by40 |
| Apr 1, 2022 | AUM | $2,097,585,865 | $2,592,201,089 | increased by$494,615,224 |
| 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 “FNY INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FNY INVESTMENT” 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.