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.
Ethic
New York, NY
Ethic Inc., CRD 282827
Firm filing updated August 28, 2026 ·
- $10.1BAssets
- 13Advisory staff
- 3,505Accounts
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
- Other investment advisors105
- Charities28
- Corporations or other businesses23
- Individuals18
- High net worth individuals15
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 18 | $64.3 million |
| High net worth individuals | 15 | $264.0 million |
| Charitable organizations | 28 | $1.1 billion |
| Other investment advisors | 105 | $6.5 billion |
| Insurance companies | Fewer than 5 clients | $276.5 million |
| Corporations or other businesses not listed above | 23 | $2.0 billion |
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
- Educational seminars/workshops
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$10.1 billion
- Accounts3,505
- DiscretionaryAll accounts
People
- Employees75
- Advisory staff13
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- Legal name: Ethic Inc. SEC-registered investment advisor. CRD 282827, SEC file 801-107290.
- Registered with the SEC as an investment advisor (status date on record: February 18, 2016).
Is Ethic a fiduciary?
Short answer: Ethic 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.