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.
Gotham Asset Management, LLC
New York, NY
CRD 149335
Firm filing updated July 30, 2026 ·
- $30BAssets
- 22Advisory staff
- 292Accounts
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 individuals245
- Pooled vehicles33
- Investment companies11
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 245 | $14.1 billion |
| Investment companies | 11 | $3.7 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 33 | $11.9 billion |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $36.6 million |
| Corporations or other businesses not listed above | Fewer than 5 clients | $398.1 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 investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for investment companies
- 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$30.0 billion
- Accounts292
- DiscretionaryAll accounts
People
- Employees56
- Advisory staff22
- Broker-dealer reps10
- Licensed insurance agents0
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 149335, SEC file 801-69960.
- Registered with the SEC as an investment advisor (status date on record: March 9, 2009).
Is Gotham Asset Management, LLC a fiduciary?
Short answer: Gotham Asset Management, 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.'
Some of the firm's people may also act for a broker-dealer: 10 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
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.