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.
Diker Management LLC
New York, NY
CRD 119786
Firm filing updated September 25, 2026 ·
- $430MAssets
- 18Clients
- 5Advisory staff
- 18Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- High net worth individuals15
- Pooled vehicles1
- Charities1
- Corporations or other businesses1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 15 | $356.9 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $57.3 million |
| Charitable organizations | 1 | $12.9 million |
| Corporations or other businesses not listed above | 1 | $2.9 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 pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$430.0 million
- Accounts18
- Discretionary$75.4 million · 5 accounts
- Non-discretionary$354.6 million · 13 accounts
People
- Employees7
- Advisory staff5
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 119786, SEC file 801-61049.
- Registered with the SEC as an investment advisor (status date on record: April 19, 2002).
Is Diker Management LLC a fiduciary?
Short answer: Diker Management 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.