Updated:
Old Slip Registered Investment Advisors
Old Slip Registered Investment Advisors is a New York-based wealth management firm registered with the SEC. The firm provides discretionary and...
Old Slip Registered Investment Advisors
Old Slip Registered Investment Advisors is a New York-based wealth management firm registered with the SEC. The firm provides discretionary and non-discretionary investment advisory services, financial planning, and pension consulting to individuals, high-net-worth individuals, and pension and profit-sharing plans. Its incorporation as a registered investment advisor rather than a broker-dealer establishes a fiduciary obligation to place client interests ahead of its own — a legal framework that influences both the firm's product selection and its client engagement model. The firm's investment approach spans traditional asset allocation and tailored financial planning, with a disclosed focus on serving retirement plan sponsors alongside private wealth clients. While the firm does not publicly disclose specific portfolio holdings or sector concentrations, its pension consulting practice indicates exposure to institutional-caliber asset classes including equities, fixed income, and alternatives through plan-level advisory. The dual retail-institutional client mix suggests portfolio construction that balances standardized model allocations with customized planning. Old Slip Registered Investment Advisors maintains a single office in New York City and reports a modest asset base, positioning it among the city's numerous independent advisory practices. The firm's location in the historic Old Slip area places it within walking distance of Wall Street, though its size and service mix align more closely with a boutique planner than a large institutional manager. No adjacent philanthropic vehicles, operating businesses, or co-investor clubs are publicly associated with the firm. The firm's structural differentiator is its pure RIA architecture — it is not a bank-affiliated trust company, a wirehouse, or an insurance-owned distributor. This independence removes product-manufacturing conflicts and allows the firm to source investment solutions from the open market. For a practice of its scale, the key governance question is succession: whether the RIA is a single-advisor practice with key-person risk or a multi-professional firm with a durable operating agreement.
General information
Firm type
Bank / Wealth / Trust
Year founded
—
AUM
Undisclosed
Location
Region
North America
Country
United States
City
New York
Corporate office
New York, NY, United States
Frequently asked questions
What is Old Slip Registered Investment Advisors' fiduciary obligation to clients?
As an SEC-registered investment advisor, Old Slip Registered Investment Advisors operates under a legal fiduciary duty to act in its clients' best interests. This duty requires the firm to disclose conflicts of interest, seek best execution on trades, and avoid self-dealing. Unlike broker-dealers that operate under the less stringent suitability standard, RIAs like Old Slip must prioritize client welfare when making portfolio recommendations and financial planning decisions.
Who are the firm's typical clients?
According to the firm's Form ADV filed with the SEC, Old Slip Registered Investment Advisors serves individuals, high-net-worth individuals, and pension and profit-sharing plans. This dual private-wealth and institutional-client structure means the firm navigates both personal financial planning and ERISA-governed retirement plan consulting. The mix is common among independent RIAs that evolved from single-advisor practices into multi-client advisory firms.
How does the firm's New York location shape its practice?
Old Slip Registered Investment Advisors operates from the Old Slip area of Lower Manhattan, a historic East River street within New York's financial district. This location places the firm geographically close to Wall Street institutions, though its size and service model align with a local independent advisory practice rather than a large institutional manager. The name itself signals geographic specificity and a relationship-based client approach rooted in New York's wealth ecosystem.
Is Old Slip Registered Investment Advisors affiliated with a bank or insurance company?
No. The firm is an independent registered investment advisor with no disclosed affiliation to a bank, insurance carrier, or broker-dealer. This independence distinguishes it from bank-affiliated trust companies and insurance-owned advisory platforms, which may face product-manufacturing conflicts. The pure-RIA structure allows Old Slip to select investment solutions from the open market without proprietary product incentives.
Does the firm manage assets on a discretionary or non-discretionary basis?
Old Slip Registered Investment Advisors offers both discretionary and non-discretionary investment management services. Discretionary accounts give the firm authority to execute trades and rebalance portfolios without client pre-approval. Non-discretionary arrangements require the firm to consult with clients before implementing investment decisions, a structure common among pension consulting engagements where plan sponsors retain final authority.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
Need institutional-grade insight on registered investment advisers?
Altss delivers:
Prefer a guided tour?
We’ll walk you through: