DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Palisade Capital Management, LP
Latest filing Jul 31, 2026
First filing on the tape Mar 29, 2012 · 47 filings
SEC status approved since Feb 7, 1995
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$1.8B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$322M
derived; firm RAUM over IAPD count
Employees
42
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$3.9B as of Jul 31, 2026
Mar 29, 2012$3.4B then
HNW client RAUM$1.5B as of Jul 31, 2026
Mar 29, 2018$798M then
State-registered IARs (5.B.3)13 as of Jul 31, 2026
Apr 1, 201321 then
Employees (5.A)42 as of Jul 31, 2026
Apr 1, 201355 then
Private funds3 as of Jul 31, 2026
Mar 29, 20125 then
RAUM -8.6% over the last fiscal year-2.8% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $322MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $1.2B, 413 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B40%
- State and municipal entities$815M21%
- Pension and profit-sharing plans$537M14%
- Individuals$309M8.0%
- Corporations and businesses$269M7.0%
- Investment companies$173M4.5%
- Charitable organizations$136M3.5%
- Pooled investment vehicles$67.2M1.7%
- Insurance companies$18.3M0.5%
- Other investment advisers$2.8M0.1%
- Individual clients
- 1,069reported
- HNW clients
- 508reported
- Pension plan clients
- 13reported
- Charitable clients
- 46reported
- Accounts
- 2,253reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $657M managedreported
- Custody of client assets
- $1.2B for 413 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.48 fund_share=0.06 institutional_share=0.39 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dennison Theodore Veru | Fort Lee, Nj | Jan 1, 2001 | 42 y | 0 |
| Wendy Sue Popowich | Fort Lee, Nj | Dec 16, 2004 | 21 y | 0 |
| Wailam William Lee | Fort Lee, Nj | Sep 8, 2006 | 31 y | 0 |
| Michael Ian Feiler | Fort Lee, Nj | Nov 3, 2006 | 32 y | 0 |
| Bradley Robert Goldman | Fort Lee, Nj | Jan 1, 2008 | 19 y | 0 |
| Bernard Joseph PicchiChartered Financial Analyst | Fort Lee, Nj | Mar 19, 2012 | 21 y | 0 |
| Marc Howard Shapiro | Fort Lee, Nj | Sep 6, 2013 | 30 y | 0 |
| Alison Anne Berman | Fort Lee, Nj | Nov 8, 2017 | 15 y | 0 |
| Lorraine Renee SalvoCertified Financial Planner | Fort Lee, Nj | Oct 7, 2019 | 22 y | 1 |
| Christopher Edward Henderson | Fort Lee, Nj | Apr 9, 2024 | 27 y | 1 |
| Kelly Marie Lynch-MoloneyCertified Financial Planner | Fort Lee, Nj | Jan 6, 2026 | 25 y | 1 |
| Brent Kenneth RobinsonChartered Financial Analyst | Palos Verdes Estates, Ca | May 6, 2026 | 11 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
- Jason Yoo to Novera Wealth, Inc.Aug 21, 2026 · RIA to a newly registered adviser
- Jeffrey Michael Schwartz to Loomis, Sayles & Company, L.P.Mar 19, 2012 · Other
- Leslie Robin Berkowitz to Chase Investment Services Corp.Jun 11, 2010 · Other
- Richard Whitman to Benchmark Capital Advisors, Inc.Aug 3, 2005 · Other
Joined, latest
- Jason Yoo from Cetera Investment Advisers LLCMar 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- Kelly Marie Lynch-Moloney from Orange Investment Advisors, Inc.Jan 6, 2026 · RIA to RIA
- Christopher Edward Henderson from Bear Stearns Asset Management Inc.Apr 9, 2024 · Other
- Lorraine Renee Salvo from Simon Quick Advisors, LLCOct 7, 2019 · RIA to RIA
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Palisade Strategic Master Fund (Cayman) Limitedno longer reported | Hedge Fund | $104M | 18 | Mar 29, 2012 |
| Palisade Long Short Alpha Master Fund (Cayman) Limitedno longer reported | Hedge Fund | $28.9M | 10 | Apr 1, 2013 |
| Palisade Private Partnership II, LPno longer reported | Hedge Fund | $17.6M | 12 | Mar 29, 2012 |
| Axe-Houghton Associate Investment Fund, LLC Class C | Hedge Fund | $3.9M | 13 | Apr 1, 2013 |
| Palisade Concentrated Equity Partnership, LPno longer reported | Hedge Fund | $3.2M | 3 | Mar 29, 2012 |
| Axe-Houghton Associate Investment Fund, LLC Class A | Hedge Fund | $1.7M | 15 | Apr 1, 2013 |
| Axe-Houghton Associate Investment Fund, LLC Class B | Hedge Fund | $1.7M | 11 | Apr 1, 2013 |
| Palisade Private Partnership, LPno longer reported | Hedge Fund | $1.5M | 2 | Mar 29, 2012 |
| Palisade Concentrated Equity Partnership II, LPno longer reported | Hedge Fund | $795,013 | 3 | Mar 29, 2012 |
| Palisade Medical Equity I, LPno longer reported | Hedge Fund | $680,097 | 32 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Anne Alison Berman · Managing Partner, President, Chief Executive Officercontrolsince 01/2018 · owns less than 5%
- Ian Michael Feiler · Partner, Private Wealth Managementcontrolsince 04/2018 · owns less than 5%
- Robert Bradley Goldman · Partner, General Counsel, Chief Compliance Officercontrolsince 01/2008 · owns less than 5%
- Beata Tannuzzo · Partner, Chief Financial Officercontrolsince 03/2018 · owns less than 5%
- Theodore Dennison Veru · Senior Partner, Chief Investment Officercontrolsince 08/2004 · owns less than 5%
- Anne Alison Berman · Limited Partnercontrolsince 02/2023 · owns 25% to 50% of Palisade Capital Holdings, LP
- Anne Alison Berman · Managing Membercontrolsince 02/2023 · owns 50% to 75% of Palisade Capital Gp, LLC
Entity owners
- Palisade Capital Gp, LLC · General Partnerdirect · owns less than 5%
- Palisade Capital Holdings, LP · Limited Partnerdirect · owns 75% or more
- Palisade Capital Gp, LLC · General Partnerindirect · owns F of Palisade Capital Holdings, LP
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Lee, Nj · principal | 12 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,412 to 2,253Mar 19, 2025 to Mar 20, 2026
- Advisory employees · 13 to 15Mar 19, 2025 to Mar 20, 2026
- Charity clients · 50 to 46Mar 19, 2025 to Mar 20, 2026
- Corporate clients · 123 to 112Mar 19, 2025 to Mar 20, 2026
- Individual clients · 1,255 to 1,069Mar 19, 2025 to Mar 20, 2026
- Pension plan clients · 15 to 13Mar 19, 2025 to Mar 20, 2026
- Pooled vehicle clients · 5 to 4Mar 19, 2025 to Mar 20, 2026
- Assets in custody · $1.2B to $1.2BMar 19, 2025 to Mar 20, 2026
- Employees · 40 to 42Mar 19, 2025 to Mar 20, 2026
- Financial planning clients · 26-50 to 51-100Mar 19, 2025 to Mar 20, 2026
- Private funds · 4 to 3Mar 19, 2025 to Mar 20, 2026
- Discretionary RAUM · $4.2B to $3.9BMar 19, 2025 to Mar 20, 2026
- HNW RAUM · $1.4B to $1.5BMar 19, 2025 to Mar 20, 2026
- Individual RAUM · $390M to $309MMar 19, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $3.3M to $2.8MMar 19, 2025 to Mar 20, 2026
- Pension RAUM · $633M to $537MMar 19, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $161M to $67.2MMar 19, 2025 to Mar 20, 2026
- RAUM · $4.2B to $3.9BMar 19, 2025 to Mar 20, 2026
- Wrap assets (manager) · $878M to $657MMar 19, 2025 to Mar 20, 2026
- Accounts · 2,374 to 2,412Oct 2, 2024 to Mar 19, 2025
- Advisory employees · 14 to 13Oct 2, 2024 to Mar 19, 2025
- BD registered reps · 3 to 0Oct 2, 2024 to Mar 19, 2025
- Charity clients · 48 to 50Oct 2, 2024 to Mar 19, 2025
- HNW clients · 488 to 508Oct 2, 2024 to Mar 19, 2025
- Individual clients · 1,299 to 1,255Oct 2, 2024 to Mar 19, 2025
- Pension plan clients · 18 to 15Oct 2, 2024 to Mar 19, 2025
- Pooled vehicle clients · 4 to 5Oct 2, 2024 to Mar 19, 2025
- Assets in custody · $1.2B to $1.2BOct 2, 2024 to Mar 19, 2025
- Financial planning clients · 26-50 to 26-50Oct 2, 2024 to Mar 19, 2025
- State-registered IARs · 14 to 13Oct 2, 2024 to Mar 19, 2025
- Discretionary RAUM · $4.2B to $4.2BOct 2, 2024 to Mar 19, 2025
- HNW RAUM · $1.5B to $1.4BOct 2, 2024 to Mar 19, 2025
- Individual RAUM · $391M to $390MOct 2, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $2.2M to $3.3MOct 2, 2024 to Mar 19, 2025
- Pension RAUM · $679M to $633MOct 2, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $111M to $161MOct 2, 2024 to Mar 19, 2025
- RAUM · $4.2B to $4.2BOct 2, 2024 to Mar 19, 2025
- Wrap assets (manager) · $902M to $878MOct 2, 2024 to Mar 19, 2025
- Accounts · 2,199 to 2,374Mar 24, 2023 to Mar 19, 2024
- Advisory employees · 17 to 14Mar 24, 2023 to Mar 19, 2024
Signals
7 dated events
- Jason Yoo left Palisade Capital Management, LP for Novera Wealth, Inc. (registered 2026-09-15)Aug 21, 2026 · Advisor changed firm · fact
- Palisade Capital Management Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 9, 2023 · Succession (Item 4) · fact
- Jack Feiler (Vice Chairman) no longer on Schedule A of Palisade Capital Management, Lp (listed 2022-11-04, absent 2023-03-09)Mar 9, 2023 · Control person left · inference
- Edward Steven Berman (Senior Advisor And Board Member) no longer on Schedule A of Palisade Capital Management, Lp (listed 2022-11-04, absent 2023-03-09)Mar 9, 2023 · Control person left · inference
- David Jeffrey Serkes (Senior Advisor And Board Member) no longer on Schedule A of Palisade Capital Management, Lp (listed 2022-11-04, absent 2023-03-09)Mar 9, 2023 · Control person left · inference
- Ruth Phyllis Berman (Executor) no longer on Schedule A of Palisade Capital Management, Lp (listed 2019-03-28, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Jean Barden (Trustee) no longer on Schedule A of Palisade Capital Management, Lp (listed 2018-06-29, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Palisade Capital Management, LP · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 201-346-5737reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 201-346-5740reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 201-346-5730reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PALISADE-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PALISADECAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (201) 585-7733reportedpublic record, Form ADV, Jul 31, 2026
- Team page
- palisadecapital.com/people/alison-bermanreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $322Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026