Wealth manager, independent · Armonk, NY
Income & Asset Advisory, Inc.
SEC-registered investment adviser · CRD 124955 · SEC 801-69801
At a glance
Income & Asset Advisory, Inc. is an SEC-registered investment adviser based in Armonk, New York, with $175 million in regulatory assets under management as of its Form ADV filed August 19, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 279 individual clients. By Form ADV it is a wealth manager, ranked 6,300th of 8,915 wealth managers and 12,920th of 17,210 SEC-registered advisers by assets.
Main office 914-273-6800theadvisory.comAs filed on Form ADV
- Regulatory AUM
- $175M
- Rank among wealth managers
- #6,300 of 8,915
- Rank among all SEC RIAs
- #12,920 of 17,210
- Rank in New York
- #1,973 of 2,591
- Individual clients
- 279
- High-net-worth clients
- 53
- Accounts
- 541
- Discretionary
- 79% of AUM
- Employees
- 5
- Advisory staff
- 4
- Offices
- 2
Owners and executives on its Form ADV
- Jason D. WaxlerChief Compliance Officer
- Derek A. RalstonPrinicpal
Custody and brokerage
Broker-dealer
Hybrid RIA
Income & Asset Advisory, Inc. is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Osaic Wealth as the broker-dealer its advisers are registered with.
Waxler is a registered representative of Osaic Wealth, Inc., a registered broker-dealer and an investment adviser representative of Osaic Wealth, Inc.. a SEC registered investment adviser .
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 53 | $111M | 64% |
| Individuals | 226 | $61M | 35% |
| Pension and profit sharing plans | 4 | $1M | <1% |
| Corporations or other businesses | 4 | $1M | <1% |
Disciplinary disclosures
Income & Asset Advisory, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
Form ADV and brochures on the SEC’s adviser search ↗theadvisory.com ↗
AtlasMembers
The full record on Income & Asset Advisory, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 5,707 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Income & Asset Advisory, Inc. manage?
Income & Asset Advisory, Inc. reports $175 million in regulatory assets under management across 541 accounts, 79% of it on a discretionary basis, on its Form ADV filed August 19, 2026.
What kind of firm is Income & Asset Advisory, Inc.?
Income & Asset Advisory, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Income & Asset Advisory, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($111 million, 53 clients); individuals ($61 million, 226 clients); pension and profit sharing plans ($1 million, 4 clients).
Does Income & Asset Advisory, Inc. have any disciplinary history?
Income & Asset Advisory, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Income & Asset Advisory, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-19), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →