SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Carrick Lane LLC
New York, NY
CRD 309148
Firm filing updated March 19, 2026 ·
- $3BAssets
- 656Clients
- 6Advisory staff
- 808Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals645
- Other investment advisors11
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 645 | $2.2 billion |
| Other investment advisors | 11 | $825.2 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$3.0 billion
- Accounts808
- DiscretionaryAll accounts
People
- Employees6
- Advisory staff6
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 309148, SEC file 801-120019.
- Registered with the SEC as an investment advisor (status date on record: March 9, 2021).
Is Carrick Lane LLC a fiduciary?
Short answer: Carrick Lane LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.