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SB

Steven Bregman

HORIZON KINETICS ASSET MANAGEMENT LLC
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 2568218
SB

Professional summary

Steven Bregman is a registered financial advisor currently at HORIZON KINETICS ASSET MANAGEMENT LLC located in New York, New York.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Steven has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
FRMO CORP.; NON-INVESTMENT RELATED; 320 MANVILLE ROAD, PLEASANTVILLE, NEW YORK; INTELLECTUAL PROPERTY; PRESIDENT; JANUARY 2001; 22 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Bregman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 22, 1994 - Present

HORIZON KINETICS ASSET MANAGEMENT LLC

Office #1: 470 Park Avenue South 4th Floor South, New York, NY 10016
RIA
CRD#: 106096
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HK
HORIZON KINETICS ASSET MANAGEMENT LLC
HORIZON ASSET MANAGEMENT INC | HORIZON KINETICS ASSET MANAGEMENT LLC | HORIZON ASSET MANAGEMENT LLC

CRD#: 106096 / SEC#: 801-47515

RIA
Registered Investment Advisory firm - (9/23/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Texas
(1/22/1994)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/17/1994
Uniform Investment Adviser Law Examination

Current Firm

HK
HORIZON KINETICS ASSET MANAGEMENT LLC
HORIZON ASSET MANAGEMENT INC | HORIZON KINETICS ASSET MANAGEMENT LLC | HORIZON ASSET MANAGEMENT LLC

CRD#: 106096 / SEC#: 801-47515

RIA
Registered Investment Advisory firm - (9/23/1994 Approved)
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Contact information

Main Address
470 Park Avenue South 4th Floor South, New York, NY 10016
Mailing Address
Phone number
(646) 291-2300
Established
Firm type
Fiscal year end
# of Employees
84

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HKAM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts2,098
AUM (Assets Under Management)$ 9,840,059,863

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HORIZON KINETICS ASSET MANAGEMENT LLC

CRD#: 106096New York, NY 10016

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