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SHARPE ADVISORS, LLC

NEW YORK, NY · CRD 338664 · IAPD ↗ · 908-455-0600

$1.23BRegulatory AUM
4Advisory reps
4Employees
0Clients
0Planning clients
0Private funds
0States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

72
October 2026 — SHARPE ADVISORS, LLC grew from 2 to 4 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
75
October 2026 — SHARPE ADVISORS, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
June 2026 — SHARPE ADVISORS, LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 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
60
April 2026 — SHARPE ADVISORS, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 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
95
December 2025 — SHARPE ADVISORS, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 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.