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SECONDMARKET FINANCIAL, LLC
CRD 333332File 801-131656
APPROVED
Filing as of Jul 9, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$150.0M
Bottom 25% of cohort (national)
Discretionary AUM
$150.0M
Clients
25
25 accounts
Employees
19
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Mar 6, 2025
- Principal office
- 3 E 28TH STREET, 7TH FLOOR, NEW YORK, NY, 10016
- Phone
- 646-968-7000
- Website
- https://www.secondmarket.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $150.0M
- Discretionary AUM
- $150.0M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 25
- Non-discretionary accounts
- 0
- Total accounts
- 25
- AUM per client
- $6.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 25 | $150.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — REFERRAL FEES FOR INTRODUCTIONS TO OTHER ADVISERS
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Portfolio management for pooled investment vehicles
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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 7 | 25 | increased by18 |
| Apr 1, 2026 | AUM | $140,616,202 | $150,016,040 | increased by$9,399,838 |
| Apr 1, 2026 | Accounts | 20 | 25 | increased by5 |
| Feb 1, 2026 | AUM | $29,907,776 | $140,616,202 | increased by$110,708,426 |
| Feb 1, 2026 | Accounts | 7 | 20 | increased by13 |
| Dec 1, 2025 vs May 1, 2025 | Registration | APPROVED-120 | APPROVED | |
| Dec 1, 2025 vs May 1, 2025 | Employees | 14 | 19 | increased by5 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 0 | 7 | increased by7 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $0 | $29,907,776 | increased by$29,907,776 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 0 | 7 | increased by7 |
| May 1, 2025 | Registration | — | APPROVED-120 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SECONDMARKET FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SECONDMARKET 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.