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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

AEM ASSET MANAGEMENT, LLC

CRD 310360

SOMERSET, NJ

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:0ae69448-09b5-ea33-a640-3800d85adf41

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Aug 4, 2020 to Mar 30, 2026
12 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=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $118MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $118M
Private client RAUM: $104MderivedItem 5.D individuals plus high net worth individuals
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $58.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 45
Individual clients: 22
High net worth clients: 22
SEC number: 801-119397
CRD: 310360
Filings on the tape: 12
First filed: Aug 4, 2020
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, NJ
Website: aemadvisory.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
Francis J. DenDulk	n/a	BUSHKILL, PA	6	14	1	no
ERIC JASON SCHWARTZ	n/a	SOMERSET, NJ	0	16	1	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
ROSENBERG RICH BAKER BERMAN & COMPANY	Owner	D	yes	05/2020	Aug 4, 2020	Dec 19, 2024
SCHWARTZ, ERIC, JASON	MANAGING MEMBER	C	yes	05/2020	Aug 4, 2020	Dec 19, 2024
DUMONT, SUSAN, ELIZABETH	CHIEF COMPLIANCE OFFICER	Na	no	10/2020	Nov 6, 2020	Dec 19, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ROSENBERG RICH BAKER BERMAN & COMPANY	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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 30, 2026	$118M	$118M	2	2	1	n/a	n/a
2024	Mar 28, 2025	$122M	$122M	2	2	1	n/a	n/a
2023	Mar 29, 2024	$128M	$128M	2	2	1	n/a	n/a
2022	Mar 30, 2023	$131M	$131M	2	2	1	n/a	n/a
2021	Mar 29, 2022	$147M	$147M	2	2	1	n/a	n/a
2020	Mar 31, 2021	$131M	$131M	2	2	1	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	$118M	$122M	-3.5%	$131M	-3.5%	2	2	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RRBB ASSET MANAGEMENT, LLC	3	Dec 31, 2020	Jan 5, 2026	MAPLEWOOD, NJ	Firm absorbed	RIA to new firm	100.0%

Relationships

Registered with (3)

← ERIC JASON SCHWARTZAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← Francis J. DenDulkAdvisorregistration: current employment
Sep 3, 2020 to presentfactForm ADV
← ROBERT E FRIEDMANAdvisorregistration: previous registration
Sep 16, 2020 to Mar 2, 2021factForm ADV

Moved with (1)

← RRBB ASSET MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 31, 2020 to Jan 5, 2026factForm ADV

Owns (1)

← DUMONT, SUSAN, ELIZABETHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 6, 2020 to Dec 19, 2024factForm ADV

Controls (2)

← SCHWARTZ, ERIC, JASONOwnerMANAGING MEMBER, ownership code C, individual
Aug 4, 2020 to Dec 19, 2024factForm ADV
← ROSENBERG RICH BAKER BERMAN & COMPANYOwnerOWNER, ownership code D, domestic entity
Aug 4, 2020 to Dec 19, 2024factForm ADV

Dated events

Occurred
Nov 6, 2020
Control person joined
Elizabeth Susan Dumont (Chief Compliance Officer) appeared on Schedule A of Aem Asset Management, Llc
Form ADVobserved 6 days ago
Occurred
Aug 4, 2020
First Form ADV filing
Aem Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ae69448-09b5-ea33-a640-3800d85adf41
First observed: Aug 4, 2020
Last observed: Mar 30, 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.

AEM ASSET MANAGEMENT, LLC

CRD 310360

SOMERSET, NJ

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:0ae69448-09b5-ea33-a640-3800d85adf41

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

Francis J. DenDulk

n/a

BUSHKILL, PA

ERIC JASON SCHWARTZ

n/a

SOMERSET, NJ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ROSENBERG RICH BAKER BERMAN & COMPANY

Owner

yes

05/2020

Aug 4, 2020

Dec 19, 2024

SCHWARTZ, ERIC, JASON

MANAGING MEMBER

yes

05/2020

Aug 4, 2020

Dec 19, 2024

DUMONT, SUSAN, ELIZABETH

CHIEF COMPLIANCE OFFICER

10/2020

Nov 6, 2020

Dec 19, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROSENBERG RICH BAKER BERMAN & COMPANY

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$118M

n/a

2024

Mar 28, 2025

$122M

n/a

2023

Mar 29, 2024

$128M

n/a

2022

Mar 30, 2023

$131M

n/a

2021

Mar 29, 2022

$147M

n/a

2020

Mar 31, 2021

$131M

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

$118M

$122M

-3.5%

$131M

-3.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RRBB ASSET MANAGEMENT, LLC

Dec 31, 2020

Jan 5, 2026

MAPLEWOOD, NJ

Firm absorbed

RIA to new firm

100.0%