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.
Kelleher Financial Advisors, LLC
New York, NY
CRD 126021
Firm filing updated April 14, 2026 ·
- $1.2BAssets
- 284Clients
- 6Advisory staff
- 749Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals171
- Individuals108
- Corporations or other businesses4
- Pension and profit sharing plans1
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 108 | $29.2 million |
| High net worth individuals | 171 | $1.1 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 1 | $5.6 million |
| Corporations or other businesses not listed above | 4 | $2.1 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
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 5 services
- Selection of other advisors (including private fund managers)
- Other: "FAMILY OFFICE AND WEALTH PLANNING"
- 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)
- Other: "FAMILY OFFICE AND WEALTH PLANNING"
Assets and accounts
- Regulatory assets$1.2 billion
- Accounts749
- Discretionary$631.8 million · 726 accounts
- Non-discretionary$521.6 million · 23 accounts
People
- Employees13
- Advisory staff6
- Broker-dealer reps2
- Licensed insurance agents0
- Planning clients101 to 250
Advisors
2 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 126021, SEC file 801-62029.
- Registered with the SEC as an investment advisor (status date on record: June 9, 2003).
Is Kelleher Financial Advisors, LLC a fiduciary?
Short answer: Kelleher Financial Advisors, 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: 2 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.
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.