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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

RMC INVESTMENT ADVISORS

RESOURCES MANAGEMENT CORP, CRD 104674

WEST HARTFORD, 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:d0b5656c-5b9e-dd95-b835-3d13f6921b58

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 0
Observed: Feb 9, 2012 to Apr 29, 2026
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: independent wealth managerderivedprivate_client_share=0.81 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1BItem 5.F on the latest filing (2026-04-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $999M
Private client RAUM: $863MderivedItem 5.D individuals plus high net worth individuals
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $152Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 865
Individual clients: 186
High net worth clients: 160
Custody, client assets: $363M
SEC number: 801-21902
CIK: 749044
CRD: 104674
Filings on the tape: 39
First filed: Feb 9, 2012
Latest filed: Apr 29, 2026
Organised: Corporation, CT
Website: rmcinvestmentadvisors.com

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
MICHAEL WILLIAM HERLIHY	n/a	WEST HARTFORD, CT	21	28	n/a	no
WILLIAM THOMAS HERLIHY	Chartered Financial Analyst	WEST HARTFORD, CT	8	14	n/a	no
ALANA LINDSEY PEZZUTI	n/a	WEST HARTFORD, CT	7	11	n/a	no
Carter Egan Dizes	n/a	WEST HARTFORD, CT	5	10	n/a	no
PATRICK MICHAEL HERLIHY	n/a	WEST HARTFORD, CT	5	13	n/a	no
Logan Patrick French	n/a	WEST HARTFORD, CT	1	11	n/a	no
CARIE ANN HODEL	n/a	WEST HARTFORD, CT	1	22	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
HERLIHY, MICHAEL, WILLIAM	PRESIDENT/ CEO	E	yes	01/2005	Apr 29, 2026	Apr 29, 2026
HERLIHY, WILLIAM, THOMAS	CHIEF COMPLIANCE OFFICER/ COO	Na	yes	03/2018	Apr 29, 2026	Apr 29, 2026

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 29, 2026	$1.1B	$999M	14	7	0	n/a	n/a
2024	Mar 20, 2025	$987M	$907M	14	7	0	n/a	n/a
2023	Mar 26, 2024	$951M	$863M	14	7	0	n/a	n/a
2022	Mar 21, 2023	$852M	$772M	14	7	0	n/a	n/a
2021	Mar 3, 2022	$1.0B	$914M	14	7	0	n/a	n/a
2020	Mar 16, 2021	$864M	$789M	14	6	0	n/a	n/a
2019	Mar 4, 2020	$822M	$759M	9	6	1	n/a	n/a
2018	Mar 26, 2019	$700M	$556M	13	7	1	n/a	n/a
2017	Mar 28, 2018	$793M	$625M	11	11	1	n/a	n/a
2016	Mar 21, 2017	$698M	$603M	9	9	n/a	n/a	n/a
2015	Mar 22, 2016	$640M	$568M	8	8	n/a	n/a	n/a
2014	Mar 18, 2015	$671M	$597M	7	7	n/a	n/a	n/a
2013	Mar 10, 2014	$632M	$483M	7	7	n/a	n/a	n/a
2012	Feb 20, 2013	$472M	$344M	5	5	n/a	n/a	n/a
2011	Feb 9, 2012	$432M	$311M	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	1	-1	14.3%	0	0	0	1	1

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	$1.1B	$987M	8.1%	$852M	7.8%	14	14	0	0

Relationships

Registered with (9)

← CARIE ANN HODELAdvisorregistration: current employment
Jun 23, 2025 to presentfactForm ADV
← Logan Patrick FrenchAdvisorregistration: current employment
Jan 10, 2025 to presentfactForm ADV
← PATRICK MICHAEL HERLIHYAdvisorregistration: current employment
May 26, 2021 to presentfactForm ADV
← Carter Egan DizesAdvisorregistration: current employment
Feb 8, 2021 to presentfactForm ADV
← ALANA LINDSEY PEZZUTIAdvisorregistration: current employment
Jun 25, 2019 to presentfactForm ADV
← WILLIAM THOMAS HERLIHYAdvisorregistration: current employment
Oct 13, 2017 to presentfactForm ADV
← MICHAEL WILLIAM HERLIHYAdvisorregistration: current employment
Jan 3, 2005 to presentfactForm ADV
← MICHAEL OTIS SCHULITZAdvisorregistration: previous registration
Feb 5, 2024 to Oct 31, 2025factForm ADV
← MATTHEW BRETT TERZIANAdvisorregistration: previous registration
Mar 21, 2016 to Feb 3, 2020factForm ADV

Controls (2)

← HERLIHY, MICHAEL, WILLIAMOwnerPRESIDENT/ CEO, ownership code E, individual
Feb 9, 2012 to Mar 26, 2024factForm ADV
← HERLIHY, WILLIAM, THOMASOwnerCHIEF COMPLIANCE OFFICER/ DIRECTOR, ownership code NA, individual
Apr 2, 2018 to Mar 26, 2024factForm ADV

Dated events

Occurred
Oct 31, 2025
Advisor changed firm
Michael Otis Schulitz left Rmc Investment Advisors for Grey Ledge Advisors, Llc (registered 2025-12-01)
Form ADVobserved 6 days ago
Occurred
Mar 26, 2024
Control person left
Bouchard Donna Flamio (Svp/Director) no longer on Schedule A of Rmc Investment Advisors (listed 2023-12-08, absent 2024-03-26)
Form ADVobserved 6 days ago
Occurred
Mar 21, 2023
Control person left
Maxmillian Frank Loehmann (Chairman//Director) no longer on Schedule A of Rmc Investment Advisors (listed 2022-03-03, absent 2023-03-21)
Form ADVobserved 6 days ago
Occurred
Mar 26, 2019
Control person left
Tommaso Modugno (Chief Compliance Officer) no longer on Schedule A of Rmc Investment Advisors (listed 2018-12-10, absent 2019-03-26)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0b5656c-5b9e-dd95-b835-3d13f6921b58
First observed: Feb 9, 2012
Last observed: Apr 29, 2026 4 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.

RMC INVESTMENT ADVISORS

RESOURCES MANAGEMENT CORP, CRD 104674

WEST HARTFORD, 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:d0b5656c-5b9e-dd95-b835-3d13f6921b58

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:26 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MICHAEL WILLIAM HERLIHY

n/a

WEST HARTFORD, CT

n/a

WILLIAM THOMAS HERLIHY

Chartered Financial Analyst

WEST HARTFORD, CT

n/a

ALANA LINDSEY PEZZUTI

n/a

WEST HARTFORD, CT

n/a

Carter Egan Dizes

n/a

WEST HARTFORD, CT

n/a

PATRICK MICHAEL HERLIHY

n/a

WEST HARTFORD, CT

n/a

Logan Patrick French

n/a

WEST HARTFORD, CT

n/a

CARIE ANN HODEL

n/a

WEST HARTFORD, CT

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HERLIHY, MICHAEL, WILLIAM

PRESIDENT/ CEO

yes

01/2005

Apr 29, 2026

HERLIHY, WILLIAM, THOMAS

CHIEF COMPLIANCE OFFICER/ COO

yes

03/2018

Apr 29, 2026

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 29, 2026

$1.1B

$999M

n/a

2024

Mar 20, 2025

$987M

$907M

n/a

2023

Mar 26, 2024

$951M

$863M

n/a

2022

Mar 21, 2023

$852M

$772M

n/a

2021

Mar 3, 2022

$1.0B

$914M

n/a

2020

Mar 16, 2021

$864M

$789M

n/a

2019

Mar 4, 2020

$822M

$759M

n/a

2018

Mar 26, 2019

$700M

$556M

n/a

2017

Mar 28, 2018

$793M

$625M

n/a

2016

Mar 21, 2017

$698M

$603M

n/a

2015

Mar 22, 2016

$640M

$568M

n/a

2014

Mar 18, 2015

$671M

$597M

n/a

2013

Mar 10, 2014

$632M

$483M

n/a

2012

Feb 20, 2013

$472M

$344M

n/a

2011

Feb 9, 2012

$432M

$311M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

14.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.1B

$987M

8.1%

$852M

7.8%