Gotham Block, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
0
Very LowAverage account size
—
About
Gotham Block provides investment management, financial planning, and quantitative finance and data‑science consulting to a mix of clients, including pension and profit‑sharing plans, trusts, corporations, and individual investors. Offerings include discretionary portfolio management across mutual funds, ETFs, individual securities and derivatives, along with project‑based and ongoing financial planning engagements.
The firm’s approach blends macroeconomic and technical analysis with systematic, quantitative methods to quantify and manage portfolio risk, pursue tax efficiency across accounts, and employ defensive option positions and periodic rebalancing. Gotham Block can implement strategies on both custodial and held‑away accounts, accepts discretionary trading authority, and may recommend private placements for accredited investors when consistent with client objectives.
Noteworthy for an investment‑manager, Gotham Block conducts public educational seminars and workshops, provides pension consulting, and accepts hourly planning engagements, expanding its client services beyond what many peers offer. The firm also engages in corporate consulting in quantitative finance and data science and notes a related blockchain software activity associated with its leadership, reflecting a technology‑oriented, quantitative background.
Client services
Financial planning
Portfolio management
Pension consulting
Educational seminars or workshops
Tax preparation services
Expertise
Equity compensation tax strategy
Options & derivatives strategies
Tax-loss harvesting
Active portfolio management
Occupation focus
Executive
Fee options
Financial Planning fixed fees ranging from $1,200 to $15,000 depending on complexity
$0 - $1,000,000: 0.95% $1,000,001 - $2,000,000: 0.85% $2,000,001 - $3,000,000: 0.75% $3,000,001 - $5,000,000: 0.65% $5,000,001 - $10,000,000: 0.55% $10,000,001+: 0.45%
$150 to $300 per hour depending on complexity
Account minimum: No minimum portfolio size required; however, there is a minimum annual fee of $2,400 per year per household for clients engaging Gotham Block for investment management services only. This minimum is waived for clients who engage in Ongoing Financial Planning. Additionally, there is a minimum annual fee of $120 per account generally imposed, which may raise the total yearly cost to more than 1% for some clients. Minimum fee: Minimum annual fee of $2,400 per household for investment management only; minimum $120 annual fee per account generally imposed; waived if client engages in Ongoing Financial Planning Fee-only: Fee-Only firm; no commissions or product sales compensation
Main office location
Gotham Block, LLC
99 Wall Street, Suite 439
New York NY 10005, United States
Number of offices
2
Most active in
Gotham Block, LLC has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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