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FNY INVESTMENT ADVISERS, LLC

NEW YORK, NY · CRD 295433 · IAPD ↗ · firstny.com · (212) 848-0600

$2.91BRegulatory AUM
96Advisory reps
132Employees
0Clients
0Planning clients
1Private funds
1States
2Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
April 2025 — FNY INVESTMENT ADVISERS, LLC's Item 11 disclosure-reporting entries rose by 1 (1 -> 2).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
57
April 2025 — FNY INVESTMENT ADVISERS, LLC reported RAUM up 63% ($1.89B -> $3.07B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
63
April 2025 — FNY INVESTMENT ADVISERS, LLC grew from 90 to 98 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
35
April 2024 — FNY INVESTMENT ADVISERS, LLC reported RAUM down 42% ($3.26B -> $1.89B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.