Wealth manager, independent · New York, NY
Ritholtz Wealth Management
SEC-registered investment adviser · CRD 168652 · SEC 801-78479
At a glance
Ritholtz Wealth Management is an SEC-registered investment adviser based in New York, New York, with $9.4B in regulatory assets under management as of its Form ADV filed August 10, 2026. It reports 4,139 individual clients, 1,445 of them high-net-worth, holding an average of about $2.2 million each, and 83 employees. That ranks it 109th among the nation’s 5,657 independent wealth management RIAs and 14th of 408 in New York. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity.
Up $1.7B from $7.7B in its previous filing; rank 135 → 109. This month’s movers →
Main office 212-625-1200ritholtz.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $9.4B
- Rank among independent wealth managers
- #109 of 5,657
- Rank among all SEC RIAs
- #1,427 of 17,210
- Rank in New York
- #14 of 408
- Individual clients
- 4,139
- High-net-worth clients
- 1,445
- Accounts
- 13,828
- Discretionary
- 90% of AUM
- Employees
- 83
- Advisory staff
- 48
- Offices
- 15
Owners and executives on its Form ADV
- Barry L. RitholtzManaging Member
- Joshua M. BrownManaging Member
- Kristopher P. VenneManaging Member
- Michael H. BatnickManaging Member
- Benjamin P. CarlsonManaging Member
- William A. SweetManaging Member
- Joel C. FishmanManaging Member
- Dinamarie R. IsolaManaging Member
- Erika C. MauroManaging Member
- Gary A. PulfordManaging Member
- Alexander J. PalumboManaging Member
- Patricia M. FerraroChief Compliance Officer & Managing Member
Custody and brokerage
Broker-dealer
No broker-dealer ties
Ritholtz Wealth Management reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 1,445 | $8.1B | 86% |
| Individuals | 2,694 | $779M | 8% |
| Pension and profit sharing plans | 82 | $414M | 4% |
| Charitable organizations | – | $73M | <1% |
| Corporations or other businesses | – | $34M | <1% |
Disciplinary disclosures
Ritholtz Wealth Management 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
- Pension consulting
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗ritholtz.com ↗
AtlasMembers
The full record on Ritholtz Wealth Management
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 427 peers of its type and size
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- Owners and executives, with titles and stakes
- 29 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
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 |
|---|---|---|
| Evercore Wealth Management, LLCNew York | $16B | 731 |
| Williams Jones Wealth Management, LLCNew York | $12B | 1,517 |
| Tocqueville Asset Management LPNew York | $10B | 1,159 |
| Joel Isaacson & Co., LLCNew York | $9.3B | 1,267 |
| Douglas C. Lane & AssociatesNew York | $8.4B | 1,084 |
| Ingalls Investment Management, LLCNew York | $7.8B | 4,245 |
Compare Ritholtz Wealth Management with
- Ritholtz Wealth Management vs Tocqueville Asset Management LP $10B · New York, NY
Background
Questions
How much does Ritholtz Wealth Management manage?
Ritholtz Wealth Management reports $9.4B in regulatory assets under management across 13,828 accounts, 90% of it on a discretionary basis, on its Form ADV filed August 10, 2026.
How many clients does Ritholtz Wealth Management have?
It reports 4,139 individual clients: 1,445 high-net-worth individuals and 2,694 other individuals. Individuals account for about 94% of its regulatory assets.
Where is Ritholtz Wealth Management headquartered?
Its main office is in New York, New York. It reports 15 offices in total and 83 employees, 48 of whom perform investment advisory functions.
How does Ritholtz Wealth Management charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; 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 Ritholtz Wealth Management use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Fidelity. On Schedule D of its Form ADV filed August 10, 2026, it reports these amounts held: Charles Schwab ($6.0B); Fidelity ($2.3B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Ritholtz Wealth Management a hybrid RIA with a broker-dealer?
Ritholtz Wealth Management reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Ritholtz Wealth Management a fiduciary?
As an SEC-registered investment adviser, Ritholtz Wealth Management owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Ritholtz Wealth Management’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 (2026-08-10), 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 →