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.
Secfi Advisory Limited
New York, NY
CRD 306961
Firm filing updated June 30, 2026 ·
- $225.9MAssets
- 55Clients
- 9Advisory staff
- 55Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals51
- Pooled vehicles4
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 51 | $44.5 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $181.4 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 pooled investment vehicles (other than investment companies)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
Assets and accounts
- Regulatory assets$225.9 million
- Accounts55
- Discretionary$175.6 million · 53 accounts
- Non-discretionary$50.3 million · 2 accounts
People
- Employees15
- Advisory staff9
- Broker-dealer reps6
- Licensed insurance agents0
- Planning clients1 to 10
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 306961, SEC file 801-126017.
- Registered with the SEC as an investment advisor (status date on record: July 7, 2022).
Is Secfi Advisory Limited a fiduciary?
Short answer: Secfi Advisory Limited 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: 6 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.