SEC-registered independent wealth management RIA
NINE30 Advisors LLC
As of its Form ADV filed August 3, 2026, NINE30 Advisors LLC, an SEC-registered independent wealth management RIA in Ny, New York, reported $654,553 in regulatory assets under management across 140 accounts, ranking #1072 among independent RIAs in New York by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 326596
- SEC file number
- 801-128888
- Registered since
- March 22, 2024
- Latest Form ADV filing
- August 3, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $654,553
- Discretionary
- $654,553 (100.0%)
- Non-discretionary
- $0
- Accounts
- 140 (140 discretionary)
- Clients
- 140, approximate as reported
- Employees
- 2
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $4,675
- Asset growth, 1 year
- 245.4% (from $189,507 a year earlier)
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 27.3% (from 110)
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 | #18,763 | #1,072 | $654,553 |
| Independent RIAs with the biggest asset gains over one year | #6,757 | #555 | $465,046 |
| Independent RIAs with the most clients | #7,190 | #386 | 140 |
| Independent RIAs with the fastest client growth over one year | #525 | #40 | 27.3%from 110 |
| Independent RIAs with the most accounts | #9,933 | #493 | 140 |
| Independent RIAs with the most advisory staff | #6,488 | #386 | 2 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2024 | $0 |
| September 2, 2025 | $189,507 |
| October 2, 2026 | $654,553 |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 140 clients | $654,553 |
How the firm is paid
- A percentage of assets under management
Advisory services
- Portfolio management for individuals or small businesses
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 1
- Employees who are IARs (Form ADV 5.B(3))
- 0
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 |
|---|---|---|
| EG Capital Management LLC | Long Island City | $702,065 |
| WU Wealth Advisory, LLC | Jackson Heights | $689,395 |
| Nevis Equity Advisors LLC | Dobbs Ferry | $685,985 |
| The Affinity Group, LLC | Albany | $678,349 |
| Lati Capital | New York | $663,433 |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- NINE30 Advisors LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.nine30.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.