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SETTANNI FINANCIAL LLC
Legal name: SUTTON PLACE INVESTORS LLC
CRD 298989File 801-114219
APPROVED
Retail clients
Custody
Filing as of Sep 8, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$397.0M
Below cohort median (national)
Discretionary AUM
$356.6M
Non-discretionary $40.5M
Clients
160
457 accounts
Employees
4
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Nov 1, 2018
- Principal office
- 84 BUSINESS PARK DRIVE, SUITE 302, ARMONK, NY, 10504
- Phone
- (914) 767-0974
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $397.0M
- Discretionary AUM
- $356.6M
- Non-discretionary AUM
- $40.5M
- Discretionary accounts
- 451
- Non-discretionary accounts
- 6
- Total accounts
- 457
- AUM per client
- $2.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $26.9M |
| Charitable organizations | Fewer than 5 | $30.3M |
| High net worth individuals | 50 | $286.1M |
| Pension and profit sharing plans | Fewer than 5 | $4.2M |
| Individuals (other than high net worth individuals) | 105 | $49.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 5 | 4 | decreased by1 |
| Mar 1, 2026 | Clients | 159 | 160 | increased by1 |
| Mar 1, 2026 | AUM | $336,786,863 | $397,030,322 | increased by$60,243,459 |
| Mar 1, 2026 | Accounts | 417 | 457 | increased by40 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 3 | 5 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 116 | 159 | increased by43 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $194,470,447 | $336,786,863 | increased by$142,316,416 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 304 | 417 | increased by113 |
| Apr 1, 2022 | Clients | 109 | 116 | increased by7 |
| Apr 1, 2022 | AUM | $180,556,764 | $194,470,447 | increased by$13,913,683 |
| Apr 1, 2022 | Accounts | 280 | 304 | increased by24 |
| 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 “SETTANNI FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SETTANNI FINANCIAL” 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.