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.
Tocqueville Asset Management LP
New York, NY
CRD 105690
Firm filing updated March 31, 2026 ·
- $10.2BAssets
- 35Advisory staff
- 2,314Accounts
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 individuals741
- Individuals418
- Charities42
- Corporations or other businesses26
- Pension and profit sharing plans15
- and 5 more28
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 418 | $53.9 million |
| High net worth individuals | 741 | $5.7 billion |
| Banking or thrift institutions | Fewer than 5 clients | $0 |
| Investment companies | 3 | $956.2 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 8 | $254.3 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 15 | $599.7 million |
| Charitable organizations | 42 | $1.2 billion |
| State or municipal government entities (including government pension plans) | 6 | $290.9 million |
| Other investment advisors | 6 | $774.9 million |
| Insurance companies | 5 | $181.5 million |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 |
| Corporations or other businesses not listed above | 26 | $279.6 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 investment companies
See all 6 services
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- 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
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$10.2 billion
- Accounts2,314
- Discretionary$9.3 billion · 2,193 accounts
- Non-discretionary$922.9 million · 121 accounts
People
- Employees73
- Advisory staff35
- Broker-dealer reps33
- Licensed insurance agents0
- Planning clients251 to 500
Advisors
13 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 105690, SEC file 801-36209.
- Registered with the SEC as an investment advisor (status date on record: April 27, 1990).
Is Tocqueville Asset Management LP a fiduciary?
Short answer: Tocqueville Asset Management LP 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: 33 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.