DFX Intelligence

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

CARUSO AND COMPANY, P.A.

CRD 142685

DEERFIELD BEACH, FL

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:5463e374-e032-54ac-6134-4f2a6666fa17

Data as of Mar 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Mar 26, 2012
1 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $43.0MItem 5.F on the latest filing (2012-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $43.0M
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: 1
RAUM per advisor: $43.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 100
SEC number: 801-71277
CRD: 142685
Filings on the tape: 1
First filed: Mar 26, 2012
Latest filed: Mar 26, 2012
Organised: Corporation, Florida

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
ANTHONY CARMEN CARUSO	n/a	DEERFIELD BEACH, FL	0	41	n/a	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
CARUSO, ANTHONY, CARMEN	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	01/1986	Mar 26, 2012	Mar 26, 2012

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
2011	Mar 26, 2012	$43.0M	$43.0M	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
0	0	0	0.0%	0	0	0	0	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
2011	$43.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (1)

← ANTHONY CARMEN CARUSOAdvisorregistration: current employment
Nov 3, 2025 to presentfactForm ADV

Controls (1)

← CARUSO, ANTHONY, CARMENOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 26, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5463e374-e032-54ac-6134-4f2a6666fa17
First observed: Mar 26, 2012
Last observed: Mar 26, 2012 176 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.

CARUSO AND COMPANY, P.A.

CRD 142685

DEERFIELD BEACH, FL

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:5463e374-e032-54ac-6134-4f2a6666fa17

Data as of Mar 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:15 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ANTHONY CARMEN CARUSO

n/a

DEERFIELD BEACH, FL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARUSO, ANTHONY, CARMEN

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

01/1986

Mar 26, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 26, 2012

$43.0M

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

2011

$43.0M

n/a