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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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BR

Barry L. Ritholtz

RITHOLTZ WEALTH MANAGEMENT
New York, NY 10018
Some features on this profile are disabled
CRD#: 2723315
BR

Professional summary

Barry Lawrence Ritholtz is a registered financial advisor currently at RITHOLTZ WEALTH MANAGEMENT located in New York, New York.

Barry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Barry has worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Lawrence Ritholtz'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

June 6, 2021 - Present

RITHOLTZ WEALTH MANAGEMENT

Office #1: 24 West 40th Street 15th Floor, New York, NY 10018
RIA
CRD#: 168652
New York, NY
Past

May 18, 2009 - June 24, 2010

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
CORAL SPRINGS, FL
Past

October 23, 2002 - January 31, 2006

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

August 30, 2002 - October 23, 2002

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

December 21, 2001 - November 11, 2002

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

October 22, 2001 - December 21, 2001

EHRENKRANTZ KING NUSSBAUM

BD
CRD#: 31140
NEW YORK, NY
Past

April 19, 2001 - October 22, 2001

WEATHERLY SECURITIES CORPORATION

BD
CRD#: 11081
NEW YORK, NY
Past

February 14, 2000 - April 19, 2001

AUERBACH, POLLAK & RICHARDSON INC.

BD
CRD#: 29824
STAMFORD, CT
Past

October 19, 1998 - January 27, 2000

TRAUTMAN WASSERMAN & COMPANY, INC.

BD
CRD#: 33007
NEW YORK, NY
Past

May 14, 1998 - September 25, 1998

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

April 24, 1996 - October 31, 1997

A.J. MICHAELS & CO., LTD.

BD
CRD#: 19883
HAUPPAUGE, 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".
RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 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
New York
(6/6/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/25/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/1/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/1996
General Securities Representative Examination

Current Firm

RW
RITHOLTZ WEALTH MANAGEMENT
COMPREHENSIVE PORTFOLIO MANAGEMENT, LLC | RITHOLTZ WEALTH MANAGEMENT | RITHOLTZ & CO. | LIFTOFF | GOOD ADVICE

CRD#: 168652 / SEC#: 801-78479

RIA
Registered Investment Advisory firm - (9/16/2013 Approved)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
24 West 40th Street 15th Floor, New York, NY 10018
Mailing Address
Phone number
(212) 625-1200
Established
Firm type
Fiscal year end
# of Employees
83

SEC notice filing (48 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

FORM ADV PART 2A - FIRM BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts12,587
AUM (Assets Under Management)$ 7,698,264,641

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/04/2026
Cover Page
Report
05/28/2025
Cover Page
Report
04/10/2024
Cover Page
Report

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

RITHOLTZ WEALTH MANAGEMENT

CRD#: 168652New York, NY 10018

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