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.
Jefferies Investment Advisers LLC
New York, NY
CRD 325421
Firm filing updated June 22, 2026 ·
- $5.2BAssets
- 2,020Clients
- 107Advisory staff
- 2,020Accounts
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
- Individuals1,649
- Corporations or other businesses340
- Pension and profit sharing plans30
- Sovereign funds1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 1,649 | $2.1 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 30 | $21.3 million |
| Sovereign wealth funds and foreign official institutions | 1 | $3.2 million |
| Corporations or other businesses not listed above | 340 | $3.1 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
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$5.2 billion
- Accounts2,020
- Discretionary$4.7 billion · 1,735 accounts
- Non-discretionary$466.9 million · 285 accounts
People
- Employees119
- Advisory staff107
- Broker-dealer reps119
- Licensed insurance agents15
- Planning clients251 to 500
Advisors
74 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 325421, SEC file 801-127656.
- Registered with the SEC as an investment advisor (status date on record: April 20, 2023).
Is Jefferies Investment Advisers LLC a fiduciary?
Short answer: Jefferies Investment Advisers 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: 119 staff are broker-dealer representatives and the firm has a related broker-dealer. 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.
15 staff are licensed insurance agents and the firm has a related insurance company or agency.
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.