DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

NOVEM GROUP

CRD 158964

ROCHESTER, 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:ad431bd0-0803-ae9f-c1f2-5505a13103d4

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 53
Dated events: 10
On other graphs: 0
Observed: Nov 28, 2011 to Sep 3, 2026
70 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=0.8 fund_share=0.0 institutional_share=0.2 related_bd= related_bank= bd_reps=21.0
Regulatory AUM: $1.7BItem 5.F on the latest filing (2026-09-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.5B
Private client RAUM: $1.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 80%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 32
RAUM per advisor: $53.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 52
Advisory employees: 50
Offices: 8Schedule D 1.F, beyond the principal office
Accounts: 5,571
Individual clients: 3,253
High net worth clients: 260
SEC number: 801-72741
CRD: 158964
Filings on the tape: 70
First filed: Nov 28, 2011
Latest filed: Sep 3, 2026
Organised: Corporation, NY
Website: novemgroup.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 32

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEPHEN GERALD ROEHRIG	n/a	ROCHESTER, NY	13	27	1	yes
JAMES WILLIAM UGONE	n/a	ROCHESTER, NY \| TOPSFIELD, MA	11	30	2	no
KRIS ERIC TOWER	Certified Financial Planner	Denver, CO \| DENVER, CO \| ROCHESTER, NY	11	30	4	yes
CHARLES GABRIEL HERENDEEN	n/a	ROCHESTER, NY	11	29	1	yes
CYNTHIA MAE DEAL	Certified Financial Planner	ROCHESTER, NY \| TOPSFIELD, MA	10	20	n/a	no
AMANDA RACHEL ESTEVES	n/a	ROCHESTER, NY	10	18	n/a	yes
ADAM C MORGAN	Certified Financial Planner	ROCHESTER , NY \| ROCHESTER, NY	7	18	2	yes
BRUCE TODD LEAR	n/a	ROCHESTER, NY \| Grand Island, NE	7	32	1	yes
Mackenzi Elizabeth Springer	n/a	ROCHESTER, NY	7	14	n/a	yes
Timothy Douglas Gerlach	n/a	ROCHESTER, NY	7	11	n/a	no
ROBERT JOSEPH BARTOLOTTA	n/a	Jupiter, FL \| ROCHESTER, NY	6	37	1	yes
PATRICK DANIEL MANUEL	n/a	ROCHESTER, NY	6	19	1	yes
THOMAS CHRISTOPHER FROEHLICH	n/a	ROCHESTER, NY \| Spring Lake Heights, NJ \| SPRING LAKE HEIGHTS, NJ	6	39	3	yes
ANDREW LOUIS GENTILE	n/a	Port St Lucie, FL \| ROCHESTER, NY	5	42	2	yes
JEREMY THOMAS RACO	n/a	ROCHESTER, NY	5	30	2	yes
MARK PETER GATTI	Certified Financial Planner	Topsfield, MA \| ROCHESTER, NY	5	48	1	no
VINCENT JAMES PALUMBOS	n/a	ROCHESTER, NY	5	27	2	no
JEFFREY BERNARD ALTIERI	n/a	ROCHESTER, NY	5	42	2	no
Gavin James Ugone	n/a	Topsfield, MA \| ROCHESTER, NY	5	13	n/a	no
THOMAS COYLE BURKE	n/a	Rochester, NY	4	31	n/a	no
ANTHONY L SIMONETTI	n/a	ROCHESTER , NY \| ROCHESTER, NY	4	17	2	yes
TORREY JAMES GIANCURSIO	n/a	ROCHESTER, NY	4	14	1	yes
RONALD JACK TAYLOR	n/a	DENVER, CO \| Jacksonville, FL \| Denver, CO \| ROCHESTER, NY	4	26	4	yes
KEVIN GLENN ALBRECHT	n/a	East Bridgewater, NJ \| ROCHESTER, NY	4	38	6	yes
Jordan Allen Reinertson	n/a	Grand Island, NE \| ROCHESTER, NY	3	11	n/a	yes

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
BARTOLOTTA, ROBERT, JOSEPH	CEO, CCO	E	yes	06/2011	Sep 3, 2026	Sep 3, 2026
ESTEVES, AMANDA, RACHEL	Cco	Na	no	01/2017	Mar 19, 2020	Dec 4, 2024
MANUEL, PATRICK, DANIEL	President	Na	no	01/2017	Mar 19, 2020	Dec 4, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
GRAND ISLAND	Ne	United States	5	yes
Jupiter	FL	United States	4	yes
Topsfield	Ma	United States	4	yes
Pittsford	NY	United States	3	yes
Denver	Co	United States	2	yes
EAST BRIDGEWATER	Nj	United States	1	yes
SPRING LAKES HEIGHT	Nj	United States	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
2025	Feb 27, 2026	$1.7B	$1.5B	52	50	8	n/a	n/a
2024	Mar 24, 2025	$1.4B	$1.2B	52	50	8	n/a	n/a
2023	Mar 1, 2024	$1.2B	$916M	50	50	7	n/a	n/a
2022	Mar 1, 2023	$1.1B	$822M	57	57	8	n/a	n/a
2021	Mar 8, 2022	$1.1B	$857M	58	58	10	n/a	n/a
2020	Mar 29, 2021	$832M	$599M	49	44	9	n/a	n/a
2019	Mar 19, 2020	$734M	$523M	45	45	8	n/a	n/a
2018	Mar 21, 2019	$599M	$408M	45	45	7	n/a	n/a
2017	Mar 26, 2018	$635M	$429M	42	42	7	n/a	n/a
2016	Mar 29, 2017	$519M	$389M	42	42	n/a	n/a	n/a
2015	Mar 28, 2016	$389M	$266M	38	38	n/a	n/a	n/a
2014	Mar 19, 2015	$299M	$214M	31	31	n/a	n/a	n/a
2013	Mar 14, 2014	$115M	$46.9M	11	9	n/a	n/a	n/a
2012	Mar 26, 2013	$121M	$120M	9	4	n/a	n/a	n/a
2011	Jan 20, 2012	$104M	$1.1M	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	3	4

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	$1.7B	$1.4B	21.5%	$1.1B	17.0%	52	52	8	8

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AMERICAN PORTFOLIOS ADVISORS, INC	9	Oct 11, 2024	Oct 11, 2024	HOLBROOK, NY	Team lift out	Ibd to RIA	1.9%

Relationships

Registered with (49)

← Kimberley KoskoAdvisorregistration: current employment
Mar 5, 2025 to presentfactForm ADV
← PAULA MARIE ROGALAAdvisorregistration: current employment
Oct 11, 2024 to presentfactForm ADV
← Catherine Elizabeth GueliAdvisorregistration: current employment
Sep 26, 2024 to presentfactForm ADV
← JOSEPH GEORGE MCPHERSONAdvisorregistration: current employment
Sep 17, 2024 to presentfactForm ADV
← Matthew Ryan SpilfogelAdvisorregistration: current employment
Sep 10, 2024 to presentfactForm ADV
← Daniel Robert WilliamsAdvisorregistration: current employment
May 12, 2023 to presentfactForm ADV
← Colin J MurrayAdvisorregistration: current employment
Mar 21, 2023 to presentfactForm ADV
← Jordan Allen ReinertsonAdvisorregistration: current employment
Nov 29, 2022 to presentfactForm ADV
← KEVIN GLENN ALBRECHTAdvisorregistration: current employment
May 13, 2022 to presentfactForm ADV
← RONALD JACK TAYLORAdvisorregistration: current employment
Apr 26, 2022 to presentfactForm ADV
← TORREY JAMES GIANCURSIOAdvisorregistration: current employment
Mar 3, 2022 to presentfactForm ADV
← THOMAS COYLE BURKEAdvisorregistration: current employment
Oct 22, 2021 to presentfactForm ADV
← ANTHONY L SIMONETTIAdvisorregistration: current employment
Oct 22, 2021 to presentfactForm ADV
← Gavin James UgoneAdvisorregistration: current employment
Aug 19, 2021 to presentfactForm ADV
← JEFFREY BERNARD ALTIERIAdvisorregistration: current employment
Mar 29, 2021 to presentfactForm ADV
← VINCENT JAMES PALUMBOSAdvisorregistration: current employment
Dec 8, 2020 to presentfactForm ADV
← MARK PETER GATTIAdvisorregistration: current employment
Nov 25, 2020 to presentfactForm ADV
← ANDREW LOUIS GENTILEAdvisorregistration: current employment
Oct 26, 2020 to presentfactForm ADV
← JEREMY THOMAS RACOAdvisorregistration: current employment
Oct 26, 2020 to presentfactForm ADV
← THOMAS CHRISTOPHER FROEHLICHAdvisorregistration: current employment
Jul 27, 2020 to presentfactForm ADV
← PATRICK DANIEL MANUELAdvisorregistration: current employment
Dec 10, 2019 to presentfactForm ADV
← ROBERT JOSEPH BARTOLOTTAAdvisorregistration: current employment
Oct 24, 2019 to presentfactForm ADV
← Timothy Douglas GerlachAdvisorregistration: current employment
Sep 17, 2019 to presentfactForm ADV
← Mackenzi Elizabeth SpringerAdvisorregistration: current employment
Mar 14, 2019 to presentfactForm ADV
← BRUCE TODD LEARAdvisorregistration: current employment
Jan 8, 2019 to presentfactForm ADV
← ADAM C MORGANAdvisorregistration: current employment
Nov 14, 2018 to presentfactForm ADV
← AMANDA RACHEL ESTEVESAdvisorregistration: current employment
May 2, 2016 to presentfactForm ADV
← CYNTHIA MAE DEALAdvisorregistration: current employment
Oct 9, 2015 to presentfactForm ADV
← CHARLES GABRIEL HERENDEENAdvisorregistration: current employment
Feb 24, 2015 to presentfactForm ADV
← KRIS ERIC TOWERAdvisorregistration: current employment
Jan 15, 2015 to presentfactForm ADV
and 19 more

Controls (1)

← BARTOLOTTA, ROBERT, JOSEPHOwnerCEO, ownership code E, individual
Nov 28, 2011 to Dec 4, 2024factForm ADV

Owns (2)

← MANUEL, PATRICK, DANIELOwnerPRESIDENT, ownership code NA, individual
Mar 19, 2020 to Dec 4, 2024factForm ADV
← ESTEVES, AMANDA, RACHELOwnerCCO, ownership code NA, individual
Mar 19, 2020 to Dec 4, 2024factForm ADV

Moved with (1)

← AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviser9 advisors, team lift out, same day
Oct 11, 2024 to Oct 11, 2024factForm ADV

Dated events

Occurred
Oct 11, 2024
Team lift-out
9 advisors left American Portfolios Advisors, Inc (Holbrook, NY) for Novem Group on the same day
Form ADVobserved 4 days ago
9 advisors
Occurred
Oct 4, 2024
Advisor changed firm
Daniel Stephen Dipaola left Novem Group for Osaic Wealth, Inc. (registered 2024-10-11)
Form ADVobserved 4 days ago
Occurred
May 31, 2024
Advisor changed firm
Torry Whitcher left Novem Group for Rfg Advisory, Llc (registered 2024-06-04)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2024
Advisor changed firm
Chad Ross Allen left Novem Group for Osaic Wealth, Inc. (registered 2025-08-25)
Form ADVobserved 4 days ago
Occurred
Nov 1, 2023
Advisor changed firm
Alec John Quaid left Novem Group for Private Advisor Group, Llc (registered 2023-11-07)
Form ADVobserved 4 days ago
Occurred
Jan 2, 2023
Advisor changed firm
Stephen Thomas Mitchell left Novem Group for Alesco Advisors Llc (registered 2023-02-07)
Form ADVobserved 4 days ago
Occurred
Sep 14, 2022
Advisor changed firm
Robert C Hayes left Novem Group for Bright Futures Wealth Management, Llc (registered 2022-08-13)
Form ADVobserved 4 days ago
Occurred
Jul 21, 2022
Advisor changed firm
Charles Edward Ruff left Novem Group for Cobblestone Capital Advisors, Llc (registered 2022-08-05)
Form ADVobserved 4 days ago
Occurred
Jun 22, 2022
Advisor changed firm
Thomas K Lyons left Novem Group for Horizon Investments Llc (registered 2022-06-06)
Form ADVobserved 4 days ago
Occurred
Mar 8, 2022
Regulatory AUM changed
Novem Group reported RAUM $1.1B, up 37% from $832.4M (2021-06-02 to 2022-03-08)
Form ADVobserved 4 days ago
$307M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad431bd0-0803-ae9f-c1f2-5505a13103d4
First observed: Nov 28, 2011
Last observed: Sep 3, 2026 16 days 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.

NOVEM GROUP

CRD 158964

ROCHESTER, 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:ad431bd0-0803-ae9f-c1f2-5505a13103d4

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:27 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEPHEN GERALD ROEHRIG

n/a

ROCHESTER, NY

yes

JAMES WILLIAM UGONE

n/a

ROCHESTER, NY | TOPSFIELD, MA

KRIS ERIC TOWER

Certified Financial Planner

Denver, CO | DENVER, CO | ROCHESTER, NY

yes

CHARLES GABRIEL HERENDEEN

n/a

ROCHESTER, NY

yes

CYNTHIA MAE DEAL

Certified Financial Planner

ROCHESTER, NY | TOPSFIELD, MA

n/a

AMANDA RACHEL ESTEVES

n/a

ROCHESTER, NY

n/a

yes

ADAM C MORGAN

Certified Financial Planner

ROCHESTER , NY | ROCHESTER, NY

yes

BRUCE TODD LEAR

n/a

ROCHESTER, NY | Grand Island, NE

yes

Mackenzi Elizabeth Springer

n/a

ROCHESTER, NY

n/a

yes

Timothy Douglas Gerlach

n/a

ROCHESTER, NY

n/a

ROBERT JOSEPH BARTOLOTTA

n/a

Jupiter, FL | ROCHESTER, NY

yes

PATRICK DANIEL MANUEL

n/a

ROCHESTER, NY

yes

THOMAS CHRISTOPHER FROEHLICH

n/a

ROCHESTER, NY | Spring Lake Heights, NJ | SPRING LAKE HEIGHTS, NJ

yes

ANDREW LOUIS GENTILE

n/a

Port St Lucie, FL | ROCHESTER, NY

yes

JEREMY THOMAS RACO

n/a

ROCHESTER, NY

yes

MARK PETER GATTI

Certified Financial Planner

Topsfield, MA | ROCHESTER, NY

VINCENT JAMES PALUMBOS

n/a

ROCHESTER, NY

JEFFREY BERNARD ALTIERI

n/a

ROCHESTER, NY

Gavin James Ugone

n/a

Topsfield, MA | ROCHESTER, NY

n/a

THOMAS COYLE BURKE

n/a

Rochester, NY

n/a

ANTHONY L SIMONETTI

n/a

ROCHESTER , NY | ROCHESTER, NY

yes

TORREY JAMES GIANCURSIO

n/a

ROCHESTER, NY

yes

RONALD JACK TAYLOR

n/a

DENVER, CO | Jacksonville, FL | Denver, CO | ROCHESTER, NY

yes

KEVIN GLENN ALBRECHT

n/a

East Bridgewater, NJ | ROCHESTER, NY

yes

Jordan Allen Reinertson

n/a

Grand Island, NE | ROCHESTER, NY

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARTOLOTTA, ROBERT, JOSEPH

CEO, CCO

yes

06/2011

Sep 3, 2026

ESTEVES, AMANDA, RACHEL

Cco

01/2017

Mar 19, 2020

Dec 4, 2024

MANUEL, PATRICK, DANIEL

President

01/2017

Mar 19, 2020

Dec 4, 2024

City

State

Country

Employees

Also broker-dealer

GRAND ISLAND

United States

yes

Jupiter

United States

yes

Topsfield

United States

yes

Pittsford

United States

yes

Denver

United States

yes

EAST BRIDGEWATER

United States

yes

SPRING LAKES HEIGHT

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 27, 2026

$1.7B

$1.5B

n/a

2024

Mar 24, 2025

$1.4B

$1.2B

n/a

2023

Mar 1, 2024

$1.2B

$916M

n/a

2022

Mar 1, 2023

$1.1B

$822M

n/a

2021

Mar 8, 2022

$1.1B

$857M

n/a

2020

Mar 29, 2021

$832M

$599M

n/a

2019

Mar 19, 2020

$734M

$523M

n/a

2018

Mar 21, 2019

$599M

$408M

n/a

2017

Mar 26, 2018

$635M

$429M

n/a

2016

Mar 29, 2017

$519M

$389M

n/a

2015

Mar 28, 2016

$389M

$266M

n/a

2014

Mar 19, 2015

$299M

$214M

n/a

2013

Mar 14, 2014

$115M

$46.9M

n/a

2012

Mar 26, 2013

$121M

$120M

n/a

2011

Jan 20, 2012

$104M

$1.1M

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

$1.7B

$1.4B

21.5%

$1.1B

17.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AMERICAN PORTFOLIOS ADVISORS, INC

Oct 11, 2024

HOLBROOK, NY

Team lift out

Ibd to RIA

1.9%