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

RESNICK ADVISORS

RESNICK INVESTMENT ADVISORS, LLC, CRD 105927

WESTPORT, CT

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:b1ea7127-ddb2-302b-2ffc-f0ed249a90f3

Data as of Aug 23, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2012 to Aug 23, 2018
17 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: $955MItem 5.F on the latest filing (2018-08-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $911M
Private client RAUM: $923MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 19
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,668
Individual clients: 606
High net worth clients: 268
Custody, client assets: $74.9M
SEC number: 801-48564
CRD: 105927
Filings on the tape: 17
First filed: Mar 6, 2012
Latest filed: Aug 23, 2018
Organised: Limited Liability Company, 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
CARAVIELLO, JAY	CHIEF EXECUTIVE OFFICER	Na	yes	01/2015	Mar 24, 2015	Aug 23, 2018
FOCUS FINANCIAL PARTNERS INC.	Member	E	yes	07/2018	Aug 23, 2018	Aug 23, 2018
FOCUS FINANCIAL PARTNERS, LLC	Member	E	yes	01/2007	Mar 6, 2012	Aug 23, 2018
FOCUS OPERATING, LLC	Member	E	yes	06/2006	Mar 6, 2012	Aug 23, 2018
MCBRIDE, JOSEPH, BERNARD	MANAGING DIRECTOR	Na	yes	01/2001	Mar 6, 2012	Aug 23, 2018
RESNICK, MARTIN	MANAGING DIRECTOR	Na	yes	01/1995	Mar 6, 2012	Aug 23, 2018
FITZGERALD, JOHN, ANTHONY	MANAGING DIRECTOR	Na	no	01/2001	Mar 6, 2012	Aug 23, 2018
MOELLER, ERIC, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	no	03/2007	Mar 6, 2012	Aug 23, 2018

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
SENTINEL PENSION ADVISORS INC	n/a	Institutional manager	$12B	N	yes	n/a

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
2017	Mar 24, 2018	$955M	$929M	23	19	0	n/a	n/a
2016	Mar 21, 2017	$809M	$806M	21	16	n/a	n/a	n/a
2015	Mar 28, 2016	$797M	$797M	22	17	n/a	n/a	n/a
2014	Mar 24, 2015	$822M	$818M	25	12	n/a	n/a	n/a
2013	Mar 18, 2014	$814M	$814M	23	10	n/a	n/a	n/a
2012	Mar 20, 2013	$715M	$714M	23	10	n/a	n/a	n/a
2011	Mar 6, 2012	$669M	$666M	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
2017	$955M	$809M	18.1%	$822M	5.1%	23	21	0	n/a

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
GYL FINANCIAL SYNERGIES, LLC	11	Jan 2, 2019	Jan 2, 2019	WESTPORT, CT	Firm absorbed	Other	100.0%

Relationships

Affiliated with (4)

→ SENTINEL PENSION ADVISORS, LLC.Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
← CAPGROUP ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← HUFFORD ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FOUNDERS FINANCIAL NETWORK, LLCRegistered adviserother investment adviser, common control
factForm ADV

Owns (2)

← FITZGERALD, JOHN, ANTHONYOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← MOELLER, ERIC, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV

Controls (5)

← RESNICK, MARTINOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← MCBRIDE, JOSEPH, BERNARDOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← CARAVIELLO, JAYOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 24, 2015 to presentfactForm ADV
← FOCUS FINANCIAL PARTNERS INC.OwnerMEMBER, ownership code E, domestic entity
Aug 23, 2018 to presentfactForm ADV
← FOCUS OPERATING, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 6, 2012 to presentfactForm ADV

Moved with (1)

→ GYL FINANCIAL SYNERGIES, LLCRegistered adviser11 advisors, firm absorbed, same day
Jan 2, 2019 to Jan 2, 2019factForm ADV

Registered with (13)

← BRENDA YVETTE DELMOREAdvisorregistration: previous registration
May 15, 2015 to Jan 2, 2019factForm ADV
← BRIAN A MARSHALLAdvisorregistration: previous registration
Jun 5, 2008 to Jan 2, 2019factForm ADV
← SCOTT M BOGANAdvisorregistration: previous registration
Nov 23, 2005 to Jan 2, 2019factForm ADV
← JUSTINE FREDERICKSAdvisorregistration: previous registration
Aug 20, 2018 to Jan 2, 2019factForm ADV
← ALESSANDRA DIMAUROAdvisorregistration: previous registration
Apr 7, 2014 to Jan 2, 2019factForm ADV
← JOSEPH BERNARD MCBRIDEAdvisorregistration: previous registration
Sep 25, 1998 to Jan 2, 2019factForm ADV
← KENT ALLEN JOHNSONAdvisorregistration: previous registration
Mar 2, 2015 to Jan 2, 2019factForm ADV
← KAREN SUTTON LEXOWAdvisorregistration: previous registration
Oct 15, 2004 to Jan 2, 2019factForm ADV
← MELISSA A CIOTOLIAdvisorregistration: previous registration
Mar 17, 2017 to Jan 2, 2019factForm ADV
← PETER AUGUSTUS KARADIMASAdvisorregistration: previous registration
Mar 8, 2016 to Jan 2, 2019factForm ADV
← Lester Bernard DeanAdvisorregistration: previous registration
Jan 22, 2018 to Jan 2, 2019factForm ADV
← HREFNA S MARTINAdvisorregistration: previous registration
May 23, 2011 to Jun 1, 2015factForm ADV
← JOAN M GUCCIONEAdvisorregistration: previous registration
Aug 21, 2002 to Oct 19, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1ea7127-ddb2-302b-2ffc-f0ed249a90f3
First observed: Mar 6, 2012
Last observed: Aug 23, 2018 98 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.

RESNICK ADVISORS

RESNICK INVESTMENT ADVISORS, LLC, CRD 105927

WESTPORT, CT

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:b1ea7127-ddb2-302b-2ffc-f0ed249a90f3

Data as of Aug 23, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:31 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARAVIELLO, JAY

CHIEF EXECUTIVE OFFICER

yes

01/2015

Mar 24, 2015

Aug 23, 2018

FOCUS FINANCIAL PARTNERS INC.

Member

yes

07/2018

Aug 23, 2018

FOCUS FINANCIAL PARTNERS, LLC

Member

yes

01/2007

Mar 6, 2012

Aug 23, 2018

FOCUS OPERATING, LLC

Member

yes

06/2006

Mar 6, 2012

Aug 23, 2018

MCBRIDE, JOSEPH, BERNARD

MANAGING DIRECTOR

yes

01/2001

Mar 6, 2012

Aug 23, 2018

RESNICK, MARTIN

MANAGING DIRECTOR

yes

01/1995

Mar 6, 2012

Aug 23, 2018

FITZGERALD, JOHN, ANTHONY

MANAGING DIRECTOR

01/2001

Mar 6, 2012

Aug 23, 2018

MOELLER, ERIC, JOSEPH

CHIEF COMPLIANCE OFFICER

03/2007

Mar 6, 2012

Aug 23, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SENTINEL PENSION ADVISORS INC

n/a

Institutional manager

$12B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 24, 2018

$955M

$929M

n/a

2016

Mar 21, 2017

$809M

$806M

n/a

2015

Mar 28, 2016

$797M

n/a

2014

Mar 24, 2015

$822M

$818M

n/a

2013

Mar 18, 2014

$814M

n/a

2012

Mar 20, 2013

$715M

$714M

n/a

2011

Mar 6, 2012

$669M

$666M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$955M

$809M

18.1%

$822M

5.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GYL FINANCIAL SYNERGIES, LLC

Jan 2, 2019

WESTPORT, CT

Firm absorbed

Other

100.0%