Fee-only adviser · New York, NY
Ethic
Ethic is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in New York, New York. On its latest Form ADV, filed August 28, 2026, it reports $10.1B in regulatory assets under management, 33 individual clients and 13 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.
Key facts from Form ADV
| Registration | SEC-registered |
|---|---|
| Firm CRD number | 282827 · SEC file 801-107290 |
| Office | 99 Hudson Street, 17th Floor New York, NY 10013 |
| Phone | (646) 687-6744 |
| Website | ethic.investments |
| Regulatory assets under management | $10.1B |
| Individual clients | 18 non-high-net-worth, 15 high-net-worth |
| Financial planning clients | Not reported |
| How it charges | Percentage of assets |
| Services | Portfolio management, Educational seminars |
| Employees | 75 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | August 28, 2026 |
Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.
What this means for you
- It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- It reports no disciplinary history on Form ADV.
Before you hire any adviser
Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.
Other fee-only advisers in New York
- Cannell & Spears LLC $7.0B
- Pinnacle Associates, Ltd. $10.4B
- Fruitful $35M
- Klingenstein Fields Advisors $4.7B
- Shufro, Rose & Co., LLC $2.5B
- Magnus Financial Group LLC $2.3B
See all 356 fee-only advisers in New York →
Nearby
- Long Island City 1 firm
- Hoboken 1 firm
- Brooklyn 23 firms
- Maspeth 1 firm
- Jersey City 8 firms
- East Elmhurst 1 firm
- Edgewater 1 firm
- Jackson Heights 1 firm
Comparing several firms? Tell us what you need and we will suggest fee-only advisers that fit. Work at Ethic? Update this listing.