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.
Exceed Advisory LLC
New York, NY
CRD 170403
Firm filing updated February 19, 2026 ·
- $119.2MAssets
- 2Advisory staff
- 92Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals61
- High net worth individuals30
- Investment companies1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 61 | $27.2 million |
| High net worth individuals | 30 | $71.3 million |
| Investment companies | 1 | $18.9 million |
| Other investment advisors | Fewer than 5 clients | $1.7 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 investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$119.2 million
- Accounts92
- DiscretionaryAll accounts
People
- Employees3
- Advisory staff2
- Broker-dealer reps0
- Licensed insurance agents1
Advisors
1 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 170403, SEC file 801-79958.
- Registered with the SEC as an investment advisor (status date on record: July 3, 2014).
Is Exceed Advisory LLC a fiduciary?
Short answer: Exceed Advisory LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
1 staff member is a licensed insurance agent.
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.