SEC-registered independent wealth management RIA
Tag Associates LLC
As of its Form ADV filed June 26, 2026, Tag Associates LLC, an SEC-registered independent wealth management RIA in New York, New York, reported $7.1 billion in regulatory assets under management across 1,366 accounts, ranking #18 among independent RIAs in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 116959
- SEC file number
- 801-60908
- Registered since
- January 1, 2002
- Latest Form ADV filing
- June 26, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $7.1 billion
- Discretionary
- $319.1 million (4.5%)
- Non-discretionary
- $6.7 billion
- Accounts
- 1,366 (29 discretionary)
- Clients
- 90, approximate as reported
- Employees
- 71
- Advisory staff
- 23 performing investment advisory functions
- Average account
- $5.2 million
- Asset growth, 1 year
- -1.0% (from $7.1 billion a year earlier)
- Asset growth, 3-year annual rate
- -4.3% (from $8.1 billion three years earlier)
- Asset growth, 5-year annual rate
- -3.9% (from $8.6 billion five years earlier)
- Client growth, 1 year
- -12.6% (from 103)
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In New York | Value |
|---|---|---|---|
| Largest independent RIAs by assets under management | #162 | #18 | $7.1 billion |
| Fastest-growing independent RIAs over one year | #6,395 | #359 | -1.0%from $7.1 billion |
| Fastest-growing independent RIAs over three years | #5,359 | #305 | -4.3%from $8.1 billion |
| Fastest-growing independent RIAs over five years | #4,586 | #276 | -3.9%from $8.6 billion |
| Independent RIAs with the most clients | #9,259 | #491 | 90 |
| Independent RIAs with the fastest client growth over one year | #5,334 | #349 | -12.6%from 103 |
| Independent RIAs with the most accounts | #1,847 | #92 | 1,366 |
| Independent RIAs with the most advisory staff | #407 | #24 | 23 |
| Independent RIAs with the most high net worth clients | #3,856 | #221 | 80 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $6.5 billion |
| October 3, 2011 | $6.8 billion |
| October 1, 2012 | $6.9 billion |
| October 1, 2013 | $7.0 billion |
| October 1, 2014 | $8.4 billion |
| October 1, 2015 | $8.4 billion |
| October 3, 2016 | $8.1 billion |
| October 2, 2017 | $8.3 billion |
| October 1, 2018 | $8.7 billion |
| October 1, 2019 | $8.1 billion |
| October 1, 2020 | $8.3 billion |
| October 4, 2021 | $8.6 billion |
| October 3, 2022 | $9.5 billion |
| October 5, 2023 | $8.1 billion |
| October 1, 2024 | $8.7 billion |
| September 2, 2025 | $7.1 billion |
| October 2, 2026 | $7.1 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 80 clients | $6.9 billion | |
| Pooled investment vehicles 10 clients | $202.5 million | |
| Pension and profit sharing plans fewer than 5 clients | $8.3 million |
How the firm is paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for pooled investment vehicles
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 51-100.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Commodity pool operator or commodity trading advisor
Financial industry affiliations (Item 7.A)
- Other investment adviser
- Commodity pool operator or commodity trading advisor
- Sponsor, general partner or managing member of pooled investment vehicles
Advises 10 private funds (Item 7.B).
Custody (Item 9)
The firm reported custody of client cash or securities, $1.3 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
0 of the firm's 1 IAR are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Ingalls Investment Management, LLC | New York | $7.8 billion |
| John W. Bristol & Co., Inc. | New York | $7.1 billion |
| Cannell & Spears LLC | New York | $7.0 billion |
| Douglass Winthrop Advisors LLC | New York | $6.5 billion |
| Stelac Advisory Services LLC | New York | $6.3 billion |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Tag Associates LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.tagassoc.com
- Independent RIAs in New York
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.