Old Slip Registered Investment Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$305,000,000
Total clients
14
21% high-net worth
Total advisors
2
of 3 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
7
Average account size
$21,785,714
About
Old Slip Registered Investment Advisors provides pension consulting to pension and employee benefit plans and also serves high‑net‑worth individuals and profit‑sharing plans. The firm limits its investment advice primarily to mutual funds, fixed‑income securities, real estate funds and insurance products (including annuities) and manages about $305 million in assets for a small client base of 14 clients supported by a three‑advisor team.
The firm’s methods of analysis include charting, fundamental, quantitative and technical approaches and it describes a long‑term trading orientation, but it predominantly delivers non‑discretionary pension consulting rather than active discretionary portfolio management. Account oversight is conducted with periodic (at least monthly) reviews and quarterly reporting, and the firm states it does not accept performance‑based fees.
Noteworthy and atypical features include that the firm publishes hypothetical performance and other performance results and maintains affiliations with a broker‑dealer and an insurance business, relationships the brochure discloses as potential conflicts of interest because commissionable products may be offered. The firm also reports that the vast majority of its AUM is non‑discretionary and it does not offer portfolio management services for individual clients, which is uncommon for peers in its supported category.
Client services
Expertise
Occupation focus
Fee options
Fixed fees for pension consulting plans between $7,500 and $60,000.
$2,000,000+: Up to 0.40%
Advisory firm's principal is a registered representative and insurance agent who accepts commissions for sale of investment and insurance products.
Hourly fees between $450 and $850.
Account minimum: $2,000,000
Main office location
Old Slip Registered Investment Advisors, LLC
40 Wall Street Floor 28
New York NY 10005, United States
Number of offices
1
Most active in
New York · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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