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
Robert Gordon & Associates Inc
Legal name Robert Gordon & Associates, Inc.
Latest filing Mar 14, 2023
First filing on the tape Mar 27, 2012 · 12 filings
RAUM
$266M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
100%
$266M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$266M as of Mar 14, 2023
Mar 27, 2012$72.0M then
HNW client RAUM$116M as of Mar 14, 2023
Feb 22, 2018$49.0M then
State-registered IARs (5.B.3)0 as of Mar 14, 2023
Mar 27, 20120 then
Employees (5.A)7 as of Mar 14, 2023
Mar 21, 20176 then
Private funds: no history
RAUM -8.5% over the last fiscal year+9.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $365,186derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$150M56%
- High-net-worth individuals$116M44%
- Individual clients
- 662reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 728reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Nicholas Robert Gordon to Berger Financial GroupFeb 7, 2024 · RIA to RIA
- Richard Lee Stone to Berger Financial GroupFeb 7, 2024 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Berger Financial GroupFeb 7, 2024 · Springfield, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Allen Robert Gordon · President & Chief Compliance Officercontrolsince 08/1983 · owns 75% or more
- Robert Nicholas Gordon · Director Of Client Developmentsince 06/2015 · owns less than 5%
- Lee Richard Stone · Director Of Operationssince 09/1990 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Springfield, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 681 to 728Feb 7, 2022 to Mar 14, 2023
- HNW clients · 83 to 66Feb 7, 2022 to Mar 14, 2023
- Individual clients · 597 to 662Feb 7, 2022 to Mar 14, 2023
- Pooled vehicle clients · 1 to 0Feb 7, 2022 to Mar 14, 2023
- Discretionary RAUM · $187M to $201MFeb 7, 2022 to Mar 14, 2023
- HNW RAUM · $147M to $116MFeb 7, 2022 to Mar 14, 2023
- Individual RAUM · $140M to $150MFeb 7, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $103M to $65.2MFeb 7, 2022 to Mar 14, 2023
- Pooled vehicle RAUM · $3.4M to $0Feb 7, 2022 to Mar 14, 2023
- RAUM · $291M to $266MFeb 7, 2022 to Mar 14, 2023
- Accounts · 714 to 681Feb 4, 2021 to Feb 7, 2022
- HNW clients · 40 to 83Feb 4, 2021 to Feb 7, 2022
- Individual clients · 673 to 597Feb 4, 2021 to Feb 7, 2022
- Discretionary RAUM · $63.3M to $187MFeb 4, 2021 to Feb 7, 2022
- HNW RAUM · $77.0M to $147MFeb 4, 2021 to Feb 7, 2022
- Individual RAUM · $158M to $140MFeb 4, 2021 to Feb 7, 2022
- Non-discretionary RAUM · $175M to $103MFeb 4, 2021 to Feb 7, 2022
- Pooled vehicle RAUM · $2.9M to $3.4MFeb 4, 2021 to Feb 7, 2022
- RAUM · $238M to $291MFeb 4, 2021 to Feb 7, 2022
- Accounts · 643 to 714May 25, 2020 to Feb 4, 2021
- HNW clients · 32 to 40May 25, 2020 to Feb 4, 2021
- Individual clients · 610 to 673May 25, 2020 to Feb 4, 2021
- Discretionary RAUM · $23.0M to $63.3MMay 25, 2020 to Feb 4, 2021
- HNW RAUM · $67.8M to $77.0MMay 25, 2020 to Feb 4, 2021
- Individual RAUM · $130M to $158MMay 25, 2020 to Feb 4, 2021
- Non-discretionary RAUM · $177M to $175MMay 25, 2020 to Feb 4, 2021
- Pooled vehicle RAUM · $2.4M to $2.9MMay 25, 2020 to Feb 4, 2021
- RAUM · $200M to $238MMay 25, 2020 to Feb 4, 2021
- Legal name · GORDON ROBERT & ASSOCIATES INC to ROBERT GORDON & ASSOCIATES, INC.Jan 22, 2020 to May 25, 2020
- Accounts · 1,385 to 643Mar 1, 2019 to Jan 22, 2020
- Advisory employees · 3 to 4Mar 1, 2019 to Jan 22, 2020
- HNW clients · 30 to 32Mar 1, 2019 to Jan 22, 2020
- Individual clients · 606 to 610Mar 1, 2019 to Jan 22, 2020
- Employees · 6 to 7Mar 1, 2019 to Jan 22, 2020
- Financial planning clients · 101-250 to 251-500Mar 1, 2019 to Jan 22, 2020
- Discretionary RAUM · $6.9M to $23.0MMar 1, 2019 to Jan 22, 2020
- HNW RAUM · $47.7M to $67.8MMar 1, 2019 to Jan 22, 2020
- Individual RAUM · $108M to $130MMar 1, 2019 to Jan 22, 2020
- Non-discretionary RAUM · $151M to $177MMar 1, 2019 to Jan 22, 2020
- Pooled vehicle RAUM · $2.0M to $2.4MMar 1, 2019 to Jan 22, 2020
Signals
4 dated events
- Nicholas Robert Gordon left Robert Gordon & Associates Inc for Berger Financial Group (registered 2024-02-04)Feb 7, 2024 · Advisor changed firm · fact
- Richard Lee Stone left Robert Gordon & Associates Inc for Berger Financial Group (registered 2024-01-24)Feb 7, 2024 · Advisor changed firm · fact
- 2 advisors left Robert Gordon & Associates Inc (Springfield, IL) for Berger Financial Group on the same dayFeb 7, 2024 · Team lift-out · derived
- Robert Gordon & Associates Inc filed its initial SEC registration (Form ADV)Mar 4, 2016 · First SEC registration · 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