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.
TAG Associates LLC
New York, NY
CRD 116959
Firm filing updated June 26, 2026 ·
- $7.1BAssets
- 23Advisory staff
- 1,366Accounts
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
- High net worth individuals80
- Pooled vehicles10
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 80 | $6.9 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 10 | $202.5 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $8.3 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)
See all 5 services
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$7.1 billion
- Accounts1,366
- Discretionary$319.1 million · 29 accounts
- Non-discretionary$6.7 billion · 1,337 accounts
People
- Employees71
- Advisory staff23
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients51 to 100
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 116959, SEC file 801-60908.
- Registered with the SEC as an investment advisor (status date on record: January 1, 2002).
Is TAG Associates LLC a fiduciary?
Short answer: TAG Associates LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
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.