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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

KNICKERBOCKER ADVISORS INC.

CRD 118553

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7f40c7b5-bdd9-2ad8-d30f-ed73fc5fb3ea

Data as of Jul 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Mar 2, 2012 to Jul 30, 2025
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $159MItem 5.F on the latest filing (2025-07-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $159M
Private client RAUM: $159MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 106
Individual clients: 7
High net worth clients: 27
Custody, client assets: $40.8M
SEC number: 801-66574
CRD: 118553
Filings on the tape: 21
First filed: Mar 2, 2012
Latest filed: Jul 30, 2025
Organised: Corporation, NY
Website: knick.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LOW, JOHN HENRY	PRESIDENT, SECY.,TREAS.& CHIEF COMPLIANCE OFFICER	E	yes	02/1992	Mar 2, 2012	Mar 4, 2024
LOW, CONSTANZA, F.A.	VICE PRESIDENT	Na	no	06/1994	Mar 2, 2012	Mar 4, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 29, 2025	$159M	$159M	2	2	0	n/a	n/a
2023	Mar 4, 2024	$136M	$136M	2	2	0	n/a	n/a
2022	Mar 21, 2023	$113M	$113M	2	2	0	n/a	n/a
2021	Mar 28, 2022	$153M	$153M	2	2	0	n/a	n/a
2020	Mar 29, 2021	$133M	$133M	2	2	0	n/a	n/a
2019	Mar 25, 2020	$128M	$128M	2	2	0	n/a	n/a
2018	Mar 26, 2019	$105M	$105M	2	2	0	n/a	n/a
2017	Mar 26, 2018	$110M	$110M	2	2	0	n/a	n/a
2016	Mar 15, 2017	$88.9M	$88.9M	2	2	n/a	n/a	n/a
2015	Mar 18, 2016	$86.1M	$86.1M	2	2	n/a	n/a	n/a
2014	Mar 23, 2015	$90.7M	$90.7M	2	2	n/a	n/a	n/a
2013	Mar 28, 2014	$90.3M	$90.3M	2	2	n/a	n/a	n/a
2012	Mar 22, 2013	$75.1M	$75.1M	2	2	n/a	n/a	n/a
2011	Mar 16, 2012	$65.5M	$65.5M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$159M	$136M	16.4%	$153M	1.2%	1	2	0	0

Relationships

Registered with (1)

← CONSTANZA F.A. LOWAdvisorregistration: previous registration
Aug 21, 2021 to Oct 6, 2025factForm ADV

Controls (1)

← LOW, JOHN HENRYOwnerPRESIDENT, SECY.,TREAS.& CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 2, 2012 to Mar 4, 2024factForm ADV

Owns (1)

← LOW, CONSTANZA, F.A.OwnerVICE PRESIDENT, ownership code NA, individual
Mar 2, 2012 to Mar 4, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Oct 6, 2025
Advisor changed firm
Constanza F.A. Low left Knickerbocker Advisors Inc. for Mercer Global Advisors Inc. (registered 2025-06-05)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Knickerbocker Advisors Inc. no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $158.6M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f40c7b5-bdd9-2ad8-d30f-ed73fc5fb3ea
First observed: Mar 2, 2012
Last observed: Jul 30, 2025 13 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KNICKERBOCKER ADVISORS INC.

CRD 118553

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7f40c7b5-bdd9-2ad8-d30f-ed73fc5fb3ea

Data as of Jul 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:17 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LOW, JOHN HENRY

PRESIDENT, SECY.,TREAS.& CHIEF COMPLIANCE OFFICER

yes

02/1992

Mar 2, 2012

Mar 4, 2024

LOW, CONSTANZA, F.A.

VICE PRESIDENT

06/1994

Mar 2, 2012

Mar 4, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 29, 2025

$159M

n/a

2023

Mar 4, 2024

$136M

n/a

2022

Mar 21, 2023

$113M

n/a

2021

Mar 28, 2022

$153M

n/a

2020

Mar 29, 2021

$133M

n/a

2019

Mar 25, 2020

$128M

n/a

2018

Mar 26, 2019

$105M

n/a

2017

Mar 26, 2018

$110M

n/a

2016

Mar 15, 2017

$88.9M

n/a

2015

Mar 18, 2016

$86.1M

n/a

2014

Mar 23, 2015

$90.7M

n/a

2013

Mar 28, 2014

$90.3M

n/a

2012

Mar 22, 2013

$75.1M

n/a

2011

Mar 16, 2012

$65.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$159M

$136M

16.4%

$153M

1.2%