We get paid by our clients for financial planning and investment management advice. The fee covers both financial planning and investment management. It is based on Assets Under Advisement or AUA with a minimum. The minimum depends on the complexity of your financial planning needs. Please see the details and examples on the pricing page.
Assets Under Advisement are investment assets for which the client receives advice from Gotham Block. Generally, we advise on investment accounts, IRAs, 401(k) accounts, 529 plans, variable annuities, employer stock, and stock options, etc. Real Estate is excluded from these calculations. These assets may be in accounts at Gotham Block’s custodians or in held-away accounts such as 401(k) accounts, 529 plans, variable annuities, etc.
There is no minimum. You don't need assets to work with us. Our fees cover both financial planning and investment management.
Gotham is a journalistic nickname for New York City. It's over two centuries old. Washington Irving first used the name in his 1807 satirical periodical Salmagundi. In 1941 DC Comics popularized it as a fictional city and the home of Batman.
If you are in New York City, we'll be glad to meet in person at our Manhattan location. If you prefer the convenience of working from your home or office or are not in New York we'll be delighted to work with you virtually.
Yes. Gotham Block is registered in New York State, but most states have a de minimus rule that allows investment advisors not registered in that state to have a small number of clients before the adviser is required to register in that state. When we reach a state's de minimus number, we register in that state.

A fee-based advisor gets paid by the clients and via other sources, such as commissions from financial products that clients purchase. This fee structure can set up a conflict of interest, as the advisor charges you for advice while steering you toward investment products from which the advisor profits.

Here is an article from NerdWallet comparing two pricing models.

If you need to obtain an insurance policy or a mortgage, find an attorney or a tax professional, we can help. We often recommend investments, insurance carriers, attorneys, estate planners, and other vendors and service providers.

Whether you follow these recommendations or not, as a fee-only advisor, Gotham Block generates no revenue.

No. We will offer recommendations that, in our professional opinion, will meet your needs and objectives. Whether you follow our recommendations or not is entirely up to you.

Gotham Block is an Investment Advisor registered with the state of New York. As such, we comply with a host of government regulations designed to protect the consumer. Details of the registration can be obtained from SEC's Adviser Info website.

Our firm's CRD number is 290005.
Form DAV Part II is a document that contains detailed information about an investment advisor, its fiduciary duties, description of services, fees, history of past violations, and other relevant information.

A copy of Gotham Block, LLC Form ADV, Part II is available from the Securities and Exchange Commission's Investment Adviser Public Disclosure website. The form is also available upon request.

Our firm's CRD number is 290005.
Please direct correspondence to Gotham Block LLC, 99 Wall St. Suite 439, New York, NY 10005.