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.

Former SEC-registered adviser

Wasmer Schroeder

Former SEC-registered adviserNaples, FloridaCRD 105323SEC 801-32554IAPD
Legal name Wasmer, Schroeder & Company, LLC
Latest filing Jul 2, 2020
First filing on the tape Mar 29, 2012 · 42 filings
RAUM
$66.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$11B as of Mar 18, 2020
Mar 29, 2012$4.1B then
HNW client RAUM$5.8B as of Mar 18, 2020
Mar 26, 2018$4.2B then
State-registered IARs (5.B.3)27 as of Mar 18, 2020
Mar 29, 20120 then
Employees (5.A)67 as of Mar 18, 2020
Mar 27, 201343 then
Private funds1 as of Mar 11, 2014
Mar 29, 20122 then
RAUM -99% over the last fiscal year-79% a year over threeIARs 27 to 1offices 8 to 0
Practice profile
derived from the filing of Jul 2, 2020; every figure names its basis
RAUM per advisor
$66.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$66.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Custody
$37.4M, 11 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$66.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$37.4M for 11 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Osprey Hyof Limitedno longer reportedHedge Fund$59.9M83Mar 29, 2012
    Osprey Commercial Real Estate Securities Offshore Fund Limitedno longer reportedHedge Fund$4.8M14Mar 29, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Duane Jason Diefenthaler · Senior Vice President - Director Of Tax Exempt Portfolio Managementcontrol
      since 05/2010 · owns less than 5%
    • Mary Josephine Dimolfetta · Senior Vice President - Chief Compliance Officercontrol
      since 06/2005 · owns less than 5%
    • S Justin Land · Presidentcontrol
      since 06/2019 · owns less than 5%
    • Stephen John Majoros · Managing Director - Director Of Taxable Portfolio Managementcontrol
      since 01/2008 · owns less than 5%
    • Reed Elizabeth Mchugh · Senior Vice President - Director Of Client Servicescontrol
      since 03/2008 · owns less than 5%
    • Allen Edward Morton · Managing Directorcontrol
      since 02/2007 · owns less than 5%
    • Noyes Thomas Richmond · Managing Director - Chief Investment Officercontrol
      since 01/2008 · owns less than 5%
    • John Michael Schroeder · Chief Risk Officercontrol
      since 08/1991 · owns less than 5%
    • William Robert Stiess · Vice President - Director Of Information Systemscontrol
      since 03/2018 · owns less than 5%
    • Manning Martin Wasmer · Chief Executive Officercontrol
      since 01/1987 · owns less than 5%
    • John Michael Schroeder · Shareholder And Presidentcontrol
      since 08/1991 · owns 25% to 50% of Wasmer, Schroeder & Company, Inc.
    • Manning Martin Wasmer · Shareholder And Ceocontrol
      since 01/1987 · owns 25% to 50% of Wasmer, Schroeder & Company, Inc.
    Entity owners
    • Wasmer, Schroeder & Company, Inc. · Manager
      direct · owns 75% or more
    • Assured Guaranty Municipal Corp. · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Wasmer Schroeder as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 5,185 to 1
      Jun 12, 2020 to Jul 2, 2020
    • Advisory employees · 33 to 1
      Jun 12, 2020 to Jul 2, 2020
    • Advisory activities · 4 to 1
      Jun 12, 2020 to Jul 2, 2020
    • Charity clients · 152.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Corporate clients · 457.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • HNW clients · 2299.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Individual clients · 2089.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Pension plan clients · 57.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Pooled vehicle clients · 101.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Employees · 67 to 10
      Jun 12, 2020 to Jul 2, 2020
    • State-registered IARs · 27 to 1
      Jun 12, 2020 to Jul 2, 2020
    • Other offices · 9 to 0
      Jun 12, 2020 to Jul 2, 2020
    • Discretionary RAUM · $10B to $66.5M
      Jun 12, 2020 to Jul 2, 2020
    • HNW RAUM · 5796717919.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Individual RAUM · 973071380.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Non-discretionary RAUM · $51.6M to $0
      Jun 12, 2020 to Jul 2, 2020
    • Pension RAUM · 371836886.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Pooled vehicle RAUM · 346769678.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • RAUM · $11B to $66.5M
      Jun 12, 2020 to Jul 2, 2020
    • Wrap assets (manager) · 2733782380.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Wrap assets (sponsor) · 0.0 to unset
      Jun 12, 2020 to Jul 2, 2020
    • Accounts · 4,608 to 5,185
      Jan 10, 2020 to Mar 18, 2020
    • Charity clients · 147 to 152
      Jan 10, 2020 to Mar 18, 2020
    • Corporate clients · 425 to 457
      Jan 10, 2020 to Mar 18, 2020
    • HNW clients · 1,882 to 2,299
      Jan 10, 2020 to Mar 18, 2020
    • Individual clients · 1,958 to 2,089
      Jan 10, 2020 to Mar 18, 2020
    • Pension plan clients · 61 to 57
      Jan 10, 2020 to Mar 18, 2020
    • Pooled vehicle clients · 106 to 101
      Jan 10, 2020 to Mar 18, 2020
    • Assets in custody · $35.1M to $37.4M
      Jan 10, 2020 to Mar 18, 2020
    • Discretionary RAUM · $8.8B to $10B
      Jan 10, 2020 to Mar 18, 2020
    • HNW RAUM · $4.7B to $5.8B
      Jan 10, 2020 to Mar 18, 2020
    • Individual RAUM · $1.0B to $973M
      Jan 10, 2020 to Mar 18, 2020
    • Non-discretionary RAUM · $56.7M to $51.6M
      Jan 10, 2020 to Mar 18, 2020
    • Pension RAUM · $298M to $372M
      Jan 10, 2020 to Mar 18, 2020
    • Pooled vehicle RAUM · $353M to $347M
      Jan 10, 2020 to Mar 18, 2020
    • RAUM · $8.9B to $11B
      Jan 10, 2020 to Mar 18, 2020
    • Wrap assets (manager) · $2.3B to $2.7B
      Jan 10, 2020 to Mar 18, 2020
    • Other offices · 8 to 9
      Jul 29, 2019 to Sep 6, 2019
    • Business name · WASMER, SCHROEDER & COMPANY, LLC to WASMER SCHROEDER
      Apr 11, 2019 to Apr 11, 2019
    • Accounts · 4,200 to 4,608
      Oct 5, 2018 to Feb 20, 2019
    Signals
    4 dated events
    • Wasmer Schroeder reported 0 offices beyond its principal office, down from 9 (2020-06-12 to 2020-07-02)
      Jul 2, 2020 · Office count change · derived
    • Wasmer Schroeder reported 1 state-registered advisory representatives, down from 27 (2020-06-12 to 2020-07-02)
      Jul 2, 2020 · Advisor headcount change · derived
    • Wasmer Schroeder reported RAUM $66.5M, down 99% from $10.5B (2020-06-12 to 2020-07-02)
      Jul 2, 2020 · RAUM change · derived
    • Wasmer Schroeder & Co Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 30, 2017 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026