Cantor Fitzgerald Investment Advisors
Registered investment adviser · New York, NY · CRD #159296
Form ADV data as of 2026-09-01Regulatory assets
$3.24 billion
Total accounts
1,302
Employees
35
Disclosure events
4
Firm details
- Website: https://www.cantor.com/our-business/asset-management/
- Telephone: (212) 915-1722
- SEC file number: 801-72852
- Most recent Form ADV filing: 2026-07-15
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a false statement or omission
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $3.24 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $3.24 billion |
| Discretionary accounts | 1,302 |
| Non-discretionary accounts | 0 |
| Total accounts | 1,302 |
| Regulatory assets under management attributable to non-U.S. persons | $1.6 million |
People
| Total employees (excluding clerical) | 35 |
| Employees performing investment advisory functions (including research) | 7 |
| Employees who are registered representatives of a broker-dealer | 24 |
| Employees registered as investment adviser representatives with a state | 35 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 29 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $459.0 million |
| Clients for whom the firm has custody | 594 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| Client funds and securities held in a related person's custody | $0 |
| Clients for whom a related person has custody | 0 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 592 | $187.6 million |
| High net worth individuals | 625 | $1.14 billion |
| Investment companies | 6 | $1.68 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 3 | $114.6 million |
| Pension and profit sharing plans (not the participants or government plans) | 10 | $21.8 million |
| Charitable organizations | 35 | $46.0 million |
| Corporations or other businesses not listed above | 24 | $47.2 million |