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AS INVESTMENT MANAGEMENT

NEW YORK, NY · CRD 317152 · IAPD ↗ · 917-277-3516

$2.84BRegulatory AUM
10Advisory reps
10Employees
3Clients
0Planning clients
0Private funds
0States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
April 2025 — AS INVESTMENT MANAGEMENT (NEW YORK, NY) left the SEC roster (was $2.84B RAUM, 10 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
75
April 2024 — AS INVESTMENT MANAGEMENT grew from 5 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
April 2024 — AS INVESTMENT MANAGEMENT crossed $1B in regulatory AUM ($100.0M -> $2.84B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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