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ASA ASSET MANAGEMENT LLC

NEW YORK, NY · CRD 335177 · IAPD ↗ · asa.com · 646-727-4576

$47.6MRegulatory AUM
9Advisory reps
15Employees
0Clients
0Planning clients
5Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
July 2026 — ASA ASSET MANAGEMENT LLC now reports custody of client assets ($2.3M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
50
February 2026 — ASA ASSET MANAGEMENT LLC added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
60
February 2026 — ASA ASSET MANAGEMENT LLC reported RAUM up 28% ($32.5M -> $41.7M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
67
February 2026 — ASA ASSET MANAGEMENT LLC grew from 6 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
42
August 2025 — ASA ASSET MANAGEMENT LLC notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
August 2025 — ASA ASSET MANAGEMENT LLC grew from 1 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
80
June 2025 — ASA ASSET MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $30.9M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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