DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

GARRISON BRADFORD & ASSOCIATES INC

CRD 105603

NEW YORK, NY

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:90c5e766-3ca1-2067-d79a-33295c467ea9

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2012 to Mar 31, 2026
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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $138MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $138M
Private client RAUM: $134MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $46.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 96
Individual clients: 39
High net worth clients: 53
SEC number: 801-10937
CIK: 1056488
CRD: 105603
Filings on the tape: 21
First filed: Mar 26, 2012
Latest filed: Mar 31, 2026
Organised: Corporation, NY
Website: garrisonbradfordinvestments.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
WILLIAM BRADFORD	Chartered Financial Analyst	NEW YORK, NY	5	41	n/a	no
SHERLI SF LOOI	n/a	NEW YORK, NY	4	14	n/a	no
PAUL AYALA	n/a	New York, NY	0	15	2	no

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
BRADFORD, WILLIAM	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	12/1985	Mar 26, 2012	Mar 22, 2024
LOOI, SHERLI, SF	EXECUTIVE VICE PRESIDENT, SECRETARY	B	yes	07/2023	Mar 26, 2015	Mar 22, 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
2025	Mar 31, 2026	$138M	$138M	3	3	0	n/a	n/a
2024	Mar 14, 2025	$134M	$134M	2	2	0	n/a	n/a
2023	Mar 22, 2024	$123M	$123M	2	2	0	n/a	n/a
2022	Mar 22, 2023	$110M	$110M	2	2	0	n/a	n/a
2021	Mar 21, 2022	$138M	$138M	2	2	0	n/a	n/a
2020	Mar 29, 2021	$114M	$114M	3	3	0	n/a	n/a
2019	Apr 29, 2020	$104M	$104M	3	3	0	n/a	n/a
2018	Mar 26, 2019	$150M	$150M	5	3	0	n/a	n/a
2017	Mar 27, 2018	$161M	$161M	5	3	1	n/a	n/a
2016	Mar 27, 2017	$120M	$120M	5	3	n/a	n/a	n/a
2015	Mar 28, 2016	$122M	$122M	5	3	n/a	n/a	n/a
2014	Mar 26, 2015	$139M	$139M	5	3	n/a	n/a	n/a
2013	Mar 21, 2014	$139M	$139M	5	3	n/a	n/a	n/a
2012	Mar 28, 2013	$127M	$127M	5	3	n/a	n/a	n/a
2011	Mar 26, 2012	$138M	$138M	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
1	0	1	0.0%	0	0	0	1	0

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
2025	$138M	$134M	3.2%	$110M	7.8%	3	2	0	0

Relationships

Registered with (3)

← PAUL AYALAAdvisorregistration: current employment
Nov 20, 2025 to presentfactForm ADV
← SHERLI SF LOOIAdvisorregistration: current employment
Dec 5, 2021 to presentfactForm ADV
← WILLIAM BRADFORDAdvisorregistration: current employment
Aug 17, 2021 to presentfactForm ADV

Controls (2)

← BRADFORD, WILLIAMOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 26, 2012 to Mar 22, 2024factForm ADV
← LOOI, SHERLI, SFOwnerEXECUTIVE VICE PRESIDENT, SECRETARY, ownership code B, individual
Mar 26, 2015 to Mar 22, 2024factForm ADV

Dated events

Occurred
Jan 21, 2022
Control person left
William Garrison (President) no longer on Schedule A of Garrison Bradford & Associates Inc (listed 2021-03-29, absent 2022-01-21)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90c5e766-3ca1-2067-d79a-33295c467ea9
First observed: Mar 26, 2012
Last observed: Mar 31, 2026 5 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.

GARRISON BRADFORD & ASSOCIATES INC

CRD 105603

NEW YORK, NY

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:90c5e766-3ca1-2067-d79a-33295c467ea9

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WILLIAM BRADFORD

Chartered Financial Analyst

NEW YORK, NY

n/a

SHERLI SF LOOI

n/a

NEW YORK, NY

n/a

PAUL AYALA

n/a

New York, NY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRADFORD, WILLIAM

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

12/1985

Mar 26, 2012

Mar 22, 2024

LOOI, SHERLI, SF

EXECUTIVE VICE PRESIDENT, SECRETARY

yes

07/2023

Mar 26, 2015

Mar 22, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$138M

n/a

2024

Mar 14, 2025

$134M

n/a

2023

Mar 22, 2024

$123M

n/a

2022

Mar 22, 2023

$110M

n/a

2021

Mar 21, 2022

$138M

n/a

2020

Mar 29, 2021

$114M

n/a

2019

Apr 29, 2020

$104M

n/a

2018

Mar 26, 2019

$150M

n/a

2017

Mar 27, 2018

$161M

n/a

2016

Mar 27, 2017

$120M

n/a

2015

Mar 28, 2016

$122M

n/a

2014

Mar 26, 2015

$139M

n/a

2013

Mar 21, 2014

$139M

n/a

2012

Mar 28, 2013

$127M

n/a

2011

Mar 26, 2012

$138M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$138M

$134M

3.2%

$110M

7.8%