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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PFE ADVISORS, INC.

CRD 144798

SOUTHBOROUGH, MA

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Search this name across graphsid dfx:ria:3102b454-95ff-ea0b-5991-25a37fab7555

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 4
On other graphs: 1
Observed: Mar 30, 2012 to Mar 31, 2021
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

PFE Advisors, Inc.

Investment consultant · shared crd

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: $16.6MItem 5.F on the latest filing (2021-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16.6M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees: 7
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 6
Individual clients: 0
High net worth clients: 0
SEC number: 801-68292
CRD: 144798
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Mar 31, 2021
Organised: Corporation, Delaware

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
DURAN, JOSEPH, JOHN	MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER	Na	yes	07/2019	Mar 30, 2012	Mar 31, 2021
IMD HOLDINGS, LLC	SOLE MEMBER AND MANAGER	E	yes	07/2019	Aug 15, 2019	Mar 31, 2021
PFEIFFER, NATASHA, IRINA	COUNSEL & SECRETARY	Na	yes	07/2019	Aug 15, 2019	Mar 31, 2021
ROTH, GARY, LAWRENCE	MANAGING DIRECTOR	Na	yes	07/2019	Mar 30, 2012	Mar 31, 2021
THE GOLDMAN SACHS GROUP, INC.	SOLE MEMBER AND MANAGER	E	yes	07/2019	Aug 15, 2019	Mar 31, 2021
UNITED CAPITAL FINANCIAL PARTNERS, INC.	SOLE MEMBER AND MANAGER	E	yes	08/2007	Mar 30, 2012	Mar 31, 2021
SPENCER, STEVEN	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	no	10/2019	Mar 30, 2020	Mar 31, 2021

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
GOLDMAN SACHS ASSET MANAGEMENT, L.P.	n/a	Other adviser	$2649B	N	yes	n/a
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL	n/a	Asset manager	$621B	N	yes	n/a
GOLDMAN SACHS & CO. LLC	n/a	Wirehouse	$134B	N	yes	NY
THE AYCO COMPANY,L.P.	n/a	Bd affiliated wealth	$32B	N	yes	n/a
UNITED CAPITAL FINANCIAL ADVISERS, LLC	n/a	Independent wealth	$25B	N	yes	n/a
ROCATON INVESTMENT ADVISORS, LLC	n/a	Former SEC adviser	$13B	N	yes	n/a
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC	n/a	Former SEC adviser	$11B	N	yes	n/a
GS INVESTMENT STRATEGIES, LLC	n/a	Former SEC adviser	$2.7B	N	yes	n/a
GOLDMAN SACHS BANK USA	n/a	n/a	n/a	N	yes	n/a
GOLDMAN SACHS FINANCIAL MARKETS, L.P.	n/a	n/a	n/a	N	yes	n/a
GOLDMAN SACHS MANAGEMENT PARTNERS, L.P.	n/a	n/a	n/a	N	yes	n/a
J. ARON & COMPANY LLC	n/a	n/a	n/a	N	yes	n/a
MERCER ALLIED COMPANY, L.P.	n/a	n/a	n/a	Y	yes	n/a
THE AYCO SERVICES AGENCY, L.P.	n/a	n/a	n/a	N	yes	n/a
THE AYCO SERVICES INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
THE GOLDMAN SACHS GROUP, INC.	n/a	n/a	n/a	Y	no	n/a
THE GOLDMAN SACHS TRUST COMPANY OF DELAWARE	n/a	n/a	n/a	N	yes	n/a
THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a
UNITED CAPITAL RISK MANAGEMENT, LLC	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
Towson	Md	United States	3	no
NEWPORT BEACH	CA	United States	0	yes

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
2020	Mar 31, 2021	$16.6M	$16.6M	19	7	2	n/a	n/a
2019	Mar 30, 2020	$11.9M	$11.9M	20	8	2	n/a	n/a
2018	Mar 28, 2019	$6.4M	$6.4M	23	10	2	n/a	n/a
2017	Mar 29, 2018	$3.2M	$3.2M	20	9	2	n/a	n/a
2016	Mar 30, 2017	$2.7M	$2.7M	22	13	n/a	n/a	n/a
2015	Mar 30, 2016	n/a	n/a	17	10	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	13	4	n/a	n/a	n/a
2013	Mar 31, 2014	n/a	n/a	10	7	n/a	n/a	n/a
2012	Mar 21, 2013	n/a	n/a	10	7	n/a	n/a	n/a
2011	Mar 30, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

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
2020	$16.6M	$11.9M	40.0%	$3.2M	72.7%	19	20	2	2

Relationships

Affiliated with (8)

→ GOLDMAN SACHS WEALTH SERVICES, L.P.Registered adviserother investment adviser, common control
factForm ADV
→ GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONALRegistered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ GOLDMAN SACHS ASSET MANAGEMENT, L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ GOLDMAN SACHS HEDGE FUND STRATEGIES LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ ROCATON INVESTMENT ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ GS INVESTMENT STRATEGIES, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GOLDMAN SACHS & CO. LLCRegistered adviserother investment adviser, broker-dealer, bank, trust company, custodian, common control
factForm ADV

Controls (6)

← DURAN, JOSEPH, JOHNOwnerMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← ROTH, GARY, LAWRENCEOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← PFEIFFER, NATASHA, IRINAOwnerCOUNSEL & SECRETARY, ownership code NA, individual
Aug 15, 2019 to presentfactForm ADV
← IMD HOLDINGS, LLCOwnerSOLE MEMBER AND MANAGER, ownership code E, domestic entity
Aug 15, 2019 to presentfactForm ADV
← THE GOLDMAN SACHS GROUP, INC.OwnerSOLE MEMBER AND MANAGER, ownership code E, domestic entity
Aug 15, 2019 to presentfactForm ADV
← UNITED CAPITAL FINANCIAL PARTNERS, INC.OwnerSOLE MEMBER AND MANAGER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← SPENCER, STEVENOwnerVICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2020 to presentfactForm ADV

Registered with (5)

← MICHAEL ANSON HERMANAdvisorregistration: previous registration
Dec 11, 2013 to Sep 18, 2020factForm ADV
← ADAM J DANIAdvisorregistration: previous registration
Sep 18, 2018 to Mar 5, 2019factForm ADV
← Wayne Everett BoenigAdvisorregistration: previous registration
Sep 13, 2007 to Jan 2, 2018factForm ADV
← CLIFFORD JOSEPH JURDIAdvisorregistration: previous registration
Feb 15, 2008 to Dec 23, 2009factForm ADV
← DANIEL JOSEPH GALLIAdvisorregistration: previous registration
Oct 18, 2007 to Feb 12, 2008factForm ADV

Dated events

Occurred
Mar 31, 2021
Control person left
Colin Jon Frojen (Managing Director, Chief Financial Officer & Treasurer) no longer on Schedule A of Pfe Advisors, Inc. (listed 2020-11-23, absent 2021-03-31)
Form ADVobserved 6 days ago
Occurred
Feb 11, 2020
Control person left
Gregory Wayne Bogosian (Vice President, President) no longer on Schedule A of Pfe Advisors, Inc. (listed 2019-08-15, absent 2020-02-11)
Form ADVobserved 6 days ago
Occurred
Aug 15, 2019
Control person joined
Irina Natasha Pfeiffer (Counsel) appeared on Schedule A of Pfe Advisors, Inc.
Form ADVobserved 6 days ago
Occurred
Aug 15, 2019
Control person left
Cheh Kristina Beck (Chief Legal Officer & Corporate Secretary) no longer on Schedule A of Pfe Advisors, Inc. (listed 2019-03-28, absent 2019-08-15)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3102b454-95ff-ea0b-5991-25a37fab7555
First observed: Mar 30, 2012
Last observed: Mar 31, 2021 66 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.

PFE ADVISORS, INC.

CRD 144798

SOUTHBOROUGH, MA

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:3102b454-95ff-ea0b-5991-25a37fab7555

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:24 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DURAN, JOSEPH, JOHN

MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER

yes

07/2019

Mar 30, 2012

Mar 31, 2021

IMD HOLDINGS, LLC

SOLE MEMBER AND MANAGER

yes

07/2019

Aug 15, 2019

Mar 31, 2021

PFEIFFER, NATASHA, IRINA

COUNSEL & SECRETARY

yes

07/2019

Aug 15, 2019

Mar 31, 2021

ROTH, GARY, LAWRENCE

MANAGING DIRECTOR

yes

07/2019

Mar 30, 2012

Mar 31, 2021

THE GOLDMAN SACHS GROUP, INC.

SOLE MEMBER AND MANAGER

yes

07/2019

Aug 15, 2019

Mar 31, 2021

UNITED CAPITAL FINANCIAL PARTNERS, INC.

SOLE MEMBER AND MANAGER

yes

08/2007

Mar 30, 2012

Mar 31, 2021

SPENCER, STEVEN

VICE PRESIDENT, CHIEF COMPLIANCE OFFICER

10/2019

Mar 30, 2020

Mar 31, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GOLDMAN SACHS ASSET MANAGEMENT, L.P.

n/a

Other adviser

$2649B

yes

n/a

GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL

n/a

Asset manager

$621B

yes

n/a

GOLDMAN SACHS & CO. LLC

n/a

Wirehouse

$134B

yes

THE AYCO COMPANY,L.P.

n/a

Bd affiliated wealth

$32B

yes

n/a

UNITED CAPITAL FINANCIAL ADVISERS, LLC

n/a

Independent wealth

$25B

yes

n/a

ROCATON INVESTMENT ADVISORS, LLC

n/a

Former SEC adviser

$13B

yes

n/a

GOLDMAN SACHS HEDGE FUND STRATEGIES LLC

n/a

Former SEC adviser

$11B

yes

n/a

GS INVESTMENT STRATEGIES, LLC

n/a

Former SEC adviser

$2.7B

yes

n/a

GOLDMAN SACHS BANK USA

n/a

yes

n/a

GOLDMAN SACHS FINANCIAL MARKETS, L.P.

n/a

yes

n/a

GOLDMAN SACHS MANAGEMENT PARTNERS, L.P.

n/a

yes

n/a

J. ARON & COMPANY LLC

n/a

yes

n/a

MERCER ALLIED COMPANY, L.P.

n/a

yes

n/a

THE AYCO SERVICES AGENCY, L.P.

n/a

yes

n/a

THE AYCO SERVICES INSURANCE AGENCY, INC.

n/a

yes

n/a

THE GOLDMAN SACHS GROUP, INC.

n/a

THE GOLDMAN SACHS TRUST COMPANY OF DELAWARE

n/a

yes

n/a

THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION

n/a

yes

n/a

UNITED CAPITAL RISK MANAGEMENT, LLC

n/a

City

State

Country

Employees

Also broker-dealer

Towson

United States

NEWPORT BEACH

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 31, 2021

$16.6M

n/a

2019

Mar 30, 2020

$11.9M

n/a

2018

Mar 28, 2019

$6.4M

n/a

2017

Mar 29, 2018

$3.2M

n/a

2016

Mar 30, 2017

$2.7M

n/a

2015

Mar 30, 2016

n/a

2014

Mar 31, 2015

n/a

2013

Mar 31, 2014

n/a

2012

Mar 21, 2013

n/a

2011

Mar 30, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$16.6M

$11.9M

40.0%

$3.2M

72.7%