Needham & Company, LLC
Registered investment adviser · New York, NY · CRD #16360
Form ADV data as of 2026-09-01Regulatory assets
$0
Total accounts
0
Employees
195
Disclosure events
21
Firm details
- Website: https://www.needhamco.com
- Telephone: 212-371-8300
- SEC file number: 801-62735
- Most recent Form ADV filing: 2026-03-19
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 4 disclosure questions answered Yes, covering 21 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | No |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $0 |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 0 |
| Total accounts | 0 |
People
| Total employees (excluding clerical) | 195 |
| Employees performing investment advisory functions (including research) | 57 |
| Employees who are registered representatives of a broker-dealer | 172 |
| Employees registered as investment adviser representatives with a state | 4 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Executes agency cross transactions involving advisory client securities
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Pooled investment vehicles (other than investment companies and BDCs) | 20 | $0 |