Wealth manager, independent · New York, NY
Kelleher Financial Advisors, LLC
SEC-registered investment adviser · CRD 126021 · SEC 801-62029
At a glance
Kelleher Financial Advisors, LLC is an SEC-registered investment adviser based in New York, New York, with $1.2B in regulatory assets under management as of its Form ADV filed April 14, 2026. It reports 279 individual clients, 171 of them high-net-worth, holding an average of about $4.1 million each, and 13 employees. That ranks it 956th among the nation’s 5,657 independent wealth management RIAs and 73rd of 408 in New York. It reports 3 custodians for its clients’ separately managed accounts: Fidelity, BNY Pershing and Charles Schwab.
Main office 212-709-9400kf-advisors.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among independent wealth managers
- #956 of 5,657
- Rank among all SEC RIAs
- #4,961 of 17,210
- Rank in New York
- #73 of 408
- Individual clients
- 279
- High-net-worth clients
- 171
- Accounts
- 749
- Discretionary
- 55% of AUM
- Employees
- 13
- Advisory staff
- 6
- Offices
- 2
Owners and executives on its Form ADV
- Colleen P. SorrentinoChief Investment Officer/ Manager
- Arthur L. GoetchiusChief Executive Officer/ Manager
- Sean M. KelleherPresident/ Manager
- Barton W. WeisenfluhManager/ Chief Executive Officer, Starboard Division
- William K. LavinManager
- Michael A. OuellettePresident, Starboard Division
- Thayne E GouldChief Compliance Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Kelleher Financial Advisors, LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Wall Street Access.
- Wall Street Access ↗CRD 10012
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Its Form ADV brochure (filed April 2026) names Wall Street Access as the broker-dealer its advisers are registered with.
, including Colleen Sorrentino, and staff of the Firm are also registered representatives of Wall Street Access who receive compensation for effecting securities transactions when acting as registered representatives of Wall Street Access.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 171 | $1.1B | 97% |
| Individuals | 108 | $29M | 3% |
| Pension and profit sharing plans | 1 | $6M | <1% |
| Corporations or other businesses | 4 | $2M | <1% |
Disciplinary disclosures
Kelleher Financial Advisors, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗kf-advisors.com ↗
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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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- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Sharpe Advisors, LLCNew York | $1.2B | 0 |
| Cooper/haims Advisors, LLCVictor | $1.2B | 519 |
| Reagan Companies Asset Management, IncSyracuse | $1.2B | 764 |
| EllevestNew York | $1.1B | 471 |
| Overbrook Management CorporationNew York | $1.1B | 105 |
| PKS Advisory Services, LLCAlbany | $1.1B | 4,874 |
Background
Questions
How much does Kelleher Financial Advisors, LLC manage?
Kelleher Financial Advisors, LLC reports $1.2B in regulatory assets under management across 749 accounts, 55% of it on a discretionary basis, on its Form ADV filed April 14, 2026.
How many clients does Kelleher Financial Advisors, LLC have?
It reports 279 individual clients: 171 high-net-worth individuals and 108 other individuals. Individuals account for about 99% of its regulatory assets.
Where is Kelleher Financial Advisors, LLC headquartered?
Its main office is in New York, New York. It reports 2 offices in total and 13 employees, 6 of whom perform investment advisory functions.
How does Kelleher Financial Advisors, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Kelleher Financial Advisors, LLC use?
It reports 3 custodians for its clients’ separately managed accounts: Fidelity, BNY Pershing and Charles Schwab. On Schedule D of its Form ADV filed April 14, 2026, it reports these amounts held: Fidelity ($310M); BNY Pershing ($278M); Charles Schwab ($47M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Kelleher Financial Advisors, LLC a hybrid RIA with a broker-dealer?
Kelleher Financial Advisors, LLC is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Wall Street Access. Wall Street Access clears through Pershing, according to its annual report filed with the SEC. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Kelleher Financial Advisors, LLC a fiduciary?
As an SEC-registered investment adviser, Kelleher Financial Advisors, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 2 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Kelleher Financial Advisors, LLC’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 (2026-04-14), 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). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. 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 →