Downtown Investment Advisory
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$116,276,088
This total excludes 5 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
54
65% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
54
HighAverage account size
$2,153,261
About
Downtown Investment Advisory is an SEC-registered independent investment adviser that manages approximately $125.3 million in discretionary separate managed accounts for about 54 clients. The firm provides customized portfolio management and investment advisory services to individuals, high‑net‑worth clients, institutions, and charitable organizations.
DIA emphasizes customized fixed‑income portfolios composed primarily of individually selected bonds and other income‑producing securities, while implementing the equity portion of portfolios primarily through equity index ETFs. Investment decisions are made on a discretionary basis using a mix of fundamental, technical, and credit analysis with an articulated focus on long‑term growth, income, and capital preservation.
Compared with many solo independent advisers, DIA’s brochure highlights an atypical client mix and investment footprint: it serves institutional and charitable clients, discusses material non‑U.S. and emerging‑markets exposure, and incorporates pooled investment products (for example, closed‑end funds, BDCs and REITs) into its fixed‑income strategies. The firm also discloses operational practices that include not sponsoring wrap programs, not voting client proxies, and formal policies for fair allocation of block trades.
Client services
Portfolio management
Retirement plan consulting services
Expertise
Passive / index investing
Fee options
Flat fee arrangements are negotiable and may be offered at DIA's discretion.
$0 - $2,000,000: 1.00% per annum (non-charitable organizations) $2,000,001+: 0.90% per annum (non-charitable organizations) $0 - $2,000,000: 0.90% per annum (charitable organizations) $2,000,001+: 0.80% per annum (charitable organizations)
Main office location
Downtown Investment Advisory
360 Hamilton Avenue, Suite 1110
White Plains NY 10601, United States
Number of offices
1
Most active in
Downtown Investment Advisory has reported serving >5 clients in these states in the last 12 months.
New York · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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