J.H. Darbie & Co., Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
J.H. Darbie & Co., Inc. provides non‑discretionary investment advisory and brokerage services to individuals (including non‑HNW clients), high‑net‑worth individuals, trusts, estates, and business entities, and participates in third‑party adviser programs. The firm also sponsors a wrap fee program and, as of December 31, 2023, reported no assets under management and states it does not manage client assets on a discretionary basis.
The firm’s investment process combines cyclical, fundamental, and technical analysis and uses value‑oriented, tactical and strategic asset allocation approaches, with account reviews performed at least quarterly and an annual comprehensive review. In its Third‑Party Registered Investment Advisor program (Morningstar Managed Portfolios), J.H. Darbie implements model strategies and provides administrative and execution services while the third‑party adviser retains investment management responsibility.
J.H. Darbie is dually registered as an investment adviser and broker‑dealer, is affiliated with an external broker‑dealer and pooled investment vehicles, and its representatives may act as insurance agents and receive placement or commission‑based compensation. The firm’s ADV discloses multiple regulatory and enforcement matters, including an SEC settlement related to anti‑money‑laundering reporting, a set of disclosures that is uncommon among peers in its category.
Client services
Expertise
Fee options
$0 - $500,000: 1.25% $500,000 - $1,000,000: 1.20% $1,000,000 - $2,000,000: 1.05% $2,000,000+: 0.90%
Brokerage commissions on securities transactions when not in wrap fee program; commissions on insurance products
Account minimum: $10,000 Fee-only: Wrap Fee Program: 0.85% - 1.85%, may be lower for fixed income products; Client-Directed Wrap Fee Account: 1% - 1.85% annually, paid monthly
Main office
See office48 Wall St., Suite 1206
New York NY 10005
Advisors at this office
2
Offices (3)
Most active in
Arizona · New Jersey · New York
Also doing business as
J.H. Darbie & Co., Inc. · J.H. Darbie Advisory
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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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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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.
Advisors at this firm
John N
Series 63, Series 66
New York, NY
J.H. Darbie & Co., Inc.
John Nettuno is a financial advisor at J.H. Darbie & Co., Inc. with one year of industry experience. He holds Series 63 and Series 66 licenses and previously worked at St Joseph's Health for nine years. J.H. Darbie & Co., Inc. provides non-discretionary investment advisory and brokerage services to individual and institutional clients, employing a combination of cyclical, fundamental, and technical analysis alongside value-oriented, tactical, and strategic asset allocation. The firm participates in third-party adviser programs and conducts regular account reviews.
Robert R
Series 63, Series 65, Series 66
New York, NY
J.H. Darbie & Co., Inc.
Robert Rabinowitz is a financial advisor with J.H. Darbie & Co., Inc., holding Series 63, 65, and 66 licenses and bringing 29 years of industry experience. He has been with J.H. Darbie since 1997 and also serves as CEO of Wolf A. Popper, Inc. and Trend Trader LLC. Outside of investment activities, Rabinowitz is involved in business accounting and consulting. J.H. Darbie & Co., Inc. provides non-discretionary investment advisory and brokerage services to individuals, trusts, estates, and business entities. The firm employs a combination of cyclical, fundamental, and technical analysis with value-oriented, tactical, and strategic asset allocation, and participates in third-party adviser programs.
Erik A
Series 63, Series 66
Phoenix, AZ
J.H. Darbie & Co., Inc.
Erik Anderson is a financial advisor at J.H. Darbie & Co., Inc. in Phoenix, AZ, with 25 years of industry experience. He holds Series 63 and Series 66 licenses and has worked at J.H. Darbie & Co. and Saro Partners since 2017. Outside of his advisory role, he provides compliance consulting services, including both investment-related and non-investment-related consulting. J.H. Darbie & Co., Inc. offers non-discretionary investment advisory and brokerage services to individuals, trusts, estates, and business entities, employing a combination of cyclical, fundamental, and technical analysis within value-oriented, tactical, and strategic asset allocation frameworks. The firm also participates in third-party adviser programs and sponsors a wrap fee program.
Thomas D
Series 63, Series 65, Series 66
Florham Park, NJ
J.H. Darbie & Co., Inc.
Thomas Daniel is a financial advisor at J.H. Darbie & Co., Inc. with 31 years of industry experience. He holds Series 63, 65, and 66 licenses and has worked at Kenneth Jerome & Co., Inc. since 2003, following a brief tenure at Morgan Stanley Dw Inc. in 2002. J.H. Darbie & Co., Inc. offers non-discretionary investment advisory and brokerage services to individuals, including non-high-net-worth clients, trusts, estates, and business entities. The firm uses a combination of cyclical, fundamental, and technical analysis, employing value-oriented, tactical, and strategic asset allocation approaches while participating in third-party adviser programs.
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