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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

GARY GOLDBERG PLANNING SERVICES

GARY GOLDBERG PLANNING SERVICES, LLC, CRD 173565

LOCUST VALLEY, NY

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:8e182790-9267-b77e-74c5-beb62deb0b65

Data as of Nov 4, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 23
On other graphs: 0
Observed: Mar 3, 2015 to Nov 4, 2022
39 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: $486MItem 5.F on the latest filing (2022-11-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $241M
Private client RAUM: $486MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 488
Individual clients: 438
High net worth clients: 50
SEC number: 801-81097
CRD: 173565
Filings on the tape: 39
First filed: Mar 3, 2015
Latest filed: Nov 4, 2022
Organised: Limited Liability Company, New York

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
BRUDERMAN & COMPANY LLC	Shareholder	E	yes	06/2017	Mar 3, 2015	Nov 4, 2022
BRUDERMAN, MATTHEW, JOHN	Trustee	E	yes	09/2014	Mar 3, 2015	Nov 4, 2022
BRUDERMAN, MATTHEW, JOHN	CHAIRMAN AND CHIEF EXECUTIVE OFFICER	Na	yes	02/2015	Mar 3, 2015	Nov 4, 2022
KERRI BETH BRUDERMAN FAMILY TRUST	Shareholder	E	yes	09/2014	Mar 29, 2019	Nov 4, 2022

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
GARY GOLDBERG & CO., LLC	n/a	n/a	n/a	Y	no	n/a
LEGACY BENEFIT ASSURANCE, LLC	n/a	n/a	n/a	N	yes	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	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
2021	Apr 1, 2022	$486M	$241M	26	8	1	n/a	n/a
2020	Mar 31, 2021	$1.3B	$1.2B	35	21	7	n/a	n/a
2019	Mar 31, 2020	$1.3B	$912M	43	30	9	n/a	n/a
2018	Mar 29, 2019	$969M	$870M	40	26	6	n/a	n/a
2017	Mar 30, 2018	$1.1B	$1.0B	36	34	6	n/a	n/a
2016	Mar 30, 2017	$864M	$862M	55	19	n/a	n/a	n/a
2015	Mar 30, 2016	$738M	$736M	44	30	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
2021	$486M	$1.3B	-63.7%	$969M	-20.6%	26	35	1	7

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AMERIPRISE FINANCIAL SERVICES, LLC	7	Oct 28, 2021	Oct 22, 2021	LOCUST VALLEY, NY	Firm absorbed	RIA to ibd	50.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Apr 4, 2017	Apr 7, 2017	NEW YORK, NY	Team lift out	Other	0.0%
GARY GOLDBERG PLANNING SERVICES INC	10	Mar 18, 2015	Mar 16, 2017	SUFFERN, NY	Firm absorbed	Other	90.9%

Relationships

Controls (3)

← BRUDERMAN, MATTHEW, JOHNOwnerTRUSTEE, ownership code E, individual
Mar 3, 2015 to presentfactForm ADV
← BRUDERMAN & COMPANY LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 3, 2015 to presentfactForm ADV
← KERRI BETH BRUDERMAN FAMILY TRUSTOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 29, 2019 to presentfactForm ADV

Affiliated with (1)

← MONTEBELLO PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (23)

← KAREN J WINFREY-LEAKEAdvisorregistration: previous registration
Apr 6, 2017 to Dec 31, 2022factForm ADV
← ANDREW JOSEPH LEBLANCAdvisorregistration: previous registration
Apr 7, 2017 to Dec 31, 2022factForm ADV
← ROBERT WILLIAM BRUDERMANAdvisorregistration: previous registration
Jan 30, 2020 to Dec 31, 2022factForm ADV
← JAMES MATTHEW BRUDERMANAdvisorregistration: previous registration
Jul 7, 2017 to Oct 19, 2022factForm ADV
← Daniel John O'ReillyAdvisorregistration: previous registration
Jun 4, 2021 to Mar 8, 2022factForm ADV
← Philip C KerstingAdvisorregistration: previous registration
May 25, 2021 to Jan 11, 2022factForm ADV
← RICHARD TIMOTHY KERSTINGAdvisorregistration: previous registration
Mar 27, 2015 to Oct 28, 2021factForm ADV
← BRYAN WHIPPLE COVERTAdvisorregistration: previous registration
Dec 16, 2015 to Oct 28, 2021factForm ADV
← Christopher R HanlyAdvisorregistration: previous registration
Mar 27, 2015 to Oct 28, 2021factForm ADV
← Bette Ellen WeissAdvisorregistration: previous registration
Aug 24, 2021 to Oct 28, 2021factForm ADV
← TYLER J. PALUMBOAdvisorregistration: previous registration
Mar 27, 2015 to Oct 28, 2021factForm ADV
← MICHAEL A COLLINSAdvisorregistration: previous registration
Mar 27, 2015 to Oct 28, 2021factForm ADV
← PETER JD DEDELAdvisorregistration: previous registration
Mar 16, 2017 to Oct 28, 2021factForm ADV
← Nicholas James LoehleAdvisorregistration: previous registration
Aug 21, 2020 to Oct 28, 2021factForm ADV
← JOSHUA SHOSHANAdvisorregistration: previous registration
Jan 13, 2020 to Feb 16, 2021factForm ADV
← OLIVER PURSCHEAdvisorregistration: previous registration
Mar 16, 2017 to Apr 6, 2020factForm ADV
← STEPHANIE TOROSIANAdvisorregistration: previous registration
Aug 2, 2017 to Oct 25, 2019factForm ADV
← JANNINE MARISA BARBOSAAdvisorregistration: previous registration
Dec 14, 2016 to Oct 17, 2019factForm ADV
← WILLIAM JOSEPH KRIVICICHAdvisorregistration: previous registration
Mar 27, 2015 to Sep 19, 2019factForm ADV
← AMIT CHOPRAAdvisorregistration: previous registration
Mar 27, 2015 to Jun 12, 2018factForm ADV
← Thomas AndersonAdvisorregistration: previous registration
May 19, 2016 to Nov 4, 2016factForm ADV
← MICHAEL ANTHONY VALENTIAdvisorregistration: previous registration
Mar 27, 2015 to Mar 22, 2016factForm ADV
← HEIDI SCALIAdvisorregistration: previous registration
Mar 27, 2015 to Jul 29, 2015factForm ADV

Moved with (3)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviser7 advisors, firm absorbed, same day
Oct 28, 2021 to Oct 22, 2021factForm ADV
← MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser2 advisors, team lift out, same day
Apr 4, 2017 to Apr 7, 2017factForm ADV
← GARY GOLDBERG PLANNING SERVICES INCRegistered adviser10 advisors, firm absorbed, same day
Mar 18, 2015 to Mar 16, 2017factForm ADV

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 31, 2022
Advisor changed firm
Andrew Joseph Leblanc left Gary Goldberg Planning Services for Sanctuary Advisors, Llc (registered 2022-12-21)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Robert William Bruderman left Gary Goldberg Planning Services for Bruderman Private Wealth (registered 2023-08-09)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2022
Advisor changed firm
Karen J Winfrey-Leake left Gary Goldberg Planning Services for Sanctuary Advisors, Llc (registered 2022-12-05)
Form ADVobserved 6 days ago
Occurred
Oct 19, 2022
Control person left
Matthew James Bruderman (President) no longer on Schedule A of Gary Goldberg Planning Services (listed 2022-10-11, absent 2022-10-19)
Form ADVobserved 6 days ago
Occurred
Oct 19, 2022
Advisor changed firm
James Matthew Bruderman left Gary Goldberg Planning Services for Bruderman Private Wealth (registered 2022-10-18)
Form ADVobserved 6 days ago
Occurred
Apr 1, 2022
Regulatory AUM changed
Gary Goldberg Planning Services reported RAUM $485.6M, down 64% from $1.3B (2021-11-15 to 2022-04-01)
Form ADVobserved 6 days ago
$-852M
Occurred
Mar 8, 2022
Advisor changed firm
Daniel John O'Reilly left Gary Goldberg Planning Services for Ameriprise Financial Services, Llc (registered 2022-03-09)
Form ADVobserved 6 days ago
Occurred
Jan 11, 2022
Advisor changed firm
Philip C Kersting left Gary Goldberg Planning Services for Ameriprise Financial Services, Llc (registered 2022-01-06)
Form ADVobserved 6 days ago
Occurred
Nov 10, 2021
Control person joined
Scott Andrew Klick (Chief Compliance Officer) appeared on Schedule A of Gary Goldberg Planning Services
Form ADVobserved 6 days ago
Occurred
Oct 15, 2021
Control person left
J. Miles Edwards (Chief Compliance Officer And General Counsel) no longer on Schedule A of Gary Goldberg Planning Services (listed 2021-03-31, absent 2021-10-15)
Form ADVobserved 6 days ago
Occurred
Oct 8, 2020
Control person left
Edward Robert Gaudio (Manging Director, Operations) no longer on Schedule A of Gary Goldberg Planning Services (listed 2020-06-29, absent 2020-10-08)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2020
Regulatory AUM changed
Gary Goldberg Planning Services reported RAUM $1.3B, up 34% from $969.0M (2020-01-09 to 2020-03-31)
Form ADVobserved 6 days ago
$331M
Occurred
Dec 20, 2019
Control person left
Marisa Jannine Barbosa (Chief Operating Officer) no longer on Schedule A of Gary Goldberg Planning Services (listed 2019-11-26, absent 2019-12-20)
Form ADVobserved 6 days ago
Occurred
Dec 20, 2019
Control person joined
Edward Robert Gaudio (Manging Director, Operations) appeared on Schedule A of Gary Goldberg Planning Services
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person joined
Matthew James Bruderman (President) appeared on Schedule A of Gary Goldberg Planning Services
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person joined
J. Miles Edwards (Chief Compliance Officer And General Counsel) appeared on Schedule A of Gary Goldberg Planning Services
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person joined
Marisa Jannine Barbosa (Chief Operating Officer) appeared on Schedule A of Gary Goldberg Planning Services
Form ADVobserved 6 days ago
Occurred
Mar 30, 2018
Regulatory AUM changed
Gary Goldberg Planning Services reported RAUM $1.1B, up 27% from $863.6M (2017-08-15 to 2018-03-30)
Form ADVobserved 6 days ago
$232M
Occurred
Mar 3, 2015
First Form ADV filing
Bruderman Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 4 bookkeeping events

Occurred
Apr 1, 2022
Gary Goldberg Planning Services reported 4 state-registered advisory representatives, down from 17 (2021-11-15 to 2022-04-01)
Occurred
Apr 1, 2022
Gary Goldberg Planning Services reported 1 offices beyond its principal office, down from 7 (2021-11-15 to 2022-04-01)
Occurred
Mar 31, 2021
Gary Goldberg Planning Services reported 17 state-registered advisory representatives, down from 35 (2020-10-08 to 2021-03-31)
Occurred
Mar 31, 2020
Gary Goldberg Planning Services reported 35 state-registered advisory representatives, up from 23 (2020-01-09 to 2020-03-31)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e182790-9267-b77e-74c5-beb62deb0b65
First observed: Mar 3, 2015
Last observed: Nov 4, 2022 47 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.

GARY GOLDBERG PLANNING SERVICES

GARY GOLDBERG PLANNING SERVICES, LLC, CRD 173565

LOCUST VALLEY, NY

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:8e182790-9267-b77e-74c5-beb62deb0b65

Data as of Nov 4, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:21 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRUDERMAN & COMPANY LLC

Shareholder

yes

06/2017

Mar 3, 2015

Nov 4, 2022

BRUDERMAN, MATTHEW, JOHN

Trustee

yes

09/2014

Mar 3, 2015

Nov 4, 2022

BRUDERMAN, MATTHEW, JOHN

CHAIRMAN AND CHIEF EXECUTIVE OFFICER

yes

02/2015

Mar 3, 2015

Nov 4, 2022

KERRI BETH BRUDERMAN FAMILY TRUST

Shareholder

yes

09/2014

Mar 29, 2019

Nov 4, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GARY GOLDBERG & CO., LLC

n/a

LEGACY BENEFIT ASSURANCE, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Apr 1, 2022

$486M

$241M

n/a

2020

Mar 31, 2021

$1.3B

$1.2B

n/a

2019

Mar 31, 2020

$1.3B

$912M

n/a

2018

Mar 29, 2019

$969M

$870M

n/a

2017

Mar 30, 2018

$1.1B

$1.0B

n/a

2016

Mar 30, 2017

$864M

$862M

n/a

2015

Mar 30, 2016

$738M

$736M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$486M

$1.3B

-63.7%

$969M

-20.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AMERIPRISE FINANCIAL SERVICES, LLC

Oct 28, 2021

Oct 22, 2021

LOCUST VALLEY, NY

Firm absorbed

RIA to ibd

50.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 4, 2017

Apr 7, 2017

NEW YORK, NY

Team lift out

Other

0.0%

GARY GOLDBERG PLANNING SERVICES INC

Mar 18, 2015

Mar 16, 2017

SUFFERN, NY

Firm absorbed

Other

90.9%