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
Gardey Financial Advisors Inc
Latest filing Jul 26, 2024
First filing on the tape Apr 10, 2012 · 28 filings
SEC status approved since Oct 24, 1984
RAUM
$228M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
95%
$218M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$228M as of Mar 18, 2024
Apr 10, 2012$209M then
HNW client RAUM$172M as of Mar 18, 2024
Apr 2, 2019$141M then
State-registered IARs (5.B.3)2 as of Mar 18, 2024
Apr 2, 20137 then
Employees (5.A)5 as of Mar 18, 2024
Apr 2, 201311 then
Private funds: no history
RAUM +17% over the last fiscal year+4.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 26, 2024; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $376,345derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- 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
- High-net-worth individuals$172M75%
- Individuals$46.1M20%
- Pension and profit-sharing plans$6.1M2.7%
- Charitable organizations$4.1M1.8%
- Corporations and businesses$107,6280.0%
- Individual clients
- 103reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 607reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- Melissa Ann Seamon to Modern Wealth Management, LLCMar 26, 2025 · RIA to RIA
- Jonathan Mcneill Gardey to Modern Wealth Management, LLCMar 26, 2025 · RIA to RIA
- Bradley Scott Duling to Sym Financial AdvisorsSep 30, 2011 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Modern Wealth Management, LLCMar 26, 2025 · Saginaw, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Ashley Ciolek · Chief Compliance Officercontrolsince 05/2004 · owns less than 5%
- Mcneill Jonathan Gardey · President And Ceo, Sole Shareholdercontrolsince 12/2016 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Saginaw, Mi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · 7810000.0 to unsetMar 18, 2024 to Mar 19, 2024
- Custody of client assets · true to falseMar 18, 2024 to Mar 19, 2024
- Accounts · 622 to 607Oct 19, 2023 to Mar 18, 2024
- Corporate clients · 1.0 to unsetOct 19, 2023 to Mar 18, 2024
- HNW clients · 69 to 71Oct 19, 2023 to Mar 18, 2024
- Individual clients · 112 to 103Oct 19, 2023 to Mar 18, 2024
- Pension plan clients · 4.0 to unsetOct 19, 2023 to Mar 18, 2024
- Discretionary RAUM · $164M to $203MOct 19, 2023 to Mar 18, 2024
- HNW RAUM · $143M to $172MOct 19, 2023 to Mar 18, 2024
- Individual RAUM · $43.0M to $46.1MOct 19, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $30.8M to $25.4MOct 19, 2023 to Mar 18, 2024
- Pension RAUM · $5.3M to $6.1MOct 19, 2023 to Mar 18, 2024
- RAUM · $195M to $228MOct 19, 2023 to Mar 18, 2024
- Assets in custody · $9.0M to $7.8MMar 24, 2023 to Apr 5, 2023
- Accounts · 608 to 622Mar 10, 2022 to Mar 24, 2023
- Advisory employees · 3 to 2Mar 10, 2022 to Mar 24, 2023
- Charity clients · 4 to 5Mar 10, 2022 to Mar 24, 2023
- HNW clients · 75 to 69Mar 10, 2022 to Mar 24, 2023
- Individual clients · 105 to 112Mar 10, 2022 to Mar 24, 2023
- Assets in custody · $9.4M to $9.0MMar 10, 2022 to Mar 24, 2023
- Employees · 9 to 5Mar 10, 2022 to Mar 24, 2023
- State-registered IARs · 3 to 2Mar 10, 2022 to Mar 24, 2023
- Discretionary RAUM · $181M to $164MMar 10, 2022 to Mar 24, 2023
- HNW RAUM · $166M to $143MMar 10, 2022 to Mar 24, 2023
- Individual RAUM · $42.3M to $43.0MMar 10, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $36.7M to $30.8MMar 10, 2022 to Mar 24, 2023
- Pension RAUM · $6.4M to $5.3MMar 10, 2022 to Mar 24, 2023
- RAUM · $218M to $195MMar 10, 2022 to Mar 24, 2023
- Accounts · 605 to 608Mar 24, 2021 to Mar 10, 2022
- Advisory employees · 4 to 3Mar 24, 2021 to Mar 10, 2022
- Individual clients · 109 to 105Mar 24, 2021 to Mar 10, 2022
- Pension plan clients · 0 to 4Mar 24, 2021 to Mar 10, 2022
- Assets in custody · $12.3M to $9.4MMar 24, 2021 to Mar 10, 2022
- Employees · 10 to 9Mar 24, 2021 to Mar 10, 2022
- State-registered IARs · 2 to 3Mar 24, 2021 to Mar 10, 2022
- Discretionary RAUM · $173M to $181MMar 24, 2021 to Mar 10, 2022
- HNW RAUM · $156M to $166MMar 24, 2021 to Mar 10, 2022
- Individual RAUM · $41.6M to $42.3MMar 24, 2021 to Mar 10, 2022
- Non-discretionary RAUM · $27.2M to $36.7MMar 24, 2021 to Mar 10, 2022
- Pension RAUM · $0 to $6.4MMar 24, 2021 to Mar 10, 2022
Signals
5 dated events
- Gardey Financial Advisors Inc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $228.4M)May 2, 2025 · Left the SEC roster · derived
- Melissa Ann Seamon left Gardey Financial Advisors Inc for Modern Wealth Management, Llc (registered 2024-12-15)Mar 26, 2025 · Advisor changed firm · fact
- Jonathan Mcneill Gardey left Gardey Financial Advisors Inc for Modern Wealth Management, Llc (registered 2025-01-09)Mar 26, 2025 · Advisor changed firm · fact
- 2 advisors left Gardey Financial Advisors Inc (Saginaw, MI) for Modern Wealth Management, LLC on the same dayMar 26, 2025 · Team lift-out · derived
- Gardey Financial Advisors Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 5, 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