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
R.H. Bluestein & Co LLC
Latest filing Mar 31, 2023
First filing on the tape Mar 29, 2012 · 29 filings
RAUM
$224M
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
23
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$224M gross assets
History
29 filings and snapshots on the tape
RAUM$224M as of Mar 31, 2023
Mar 29, 2012$2.9B then
HNW client RAUM$4.0B as of Mar 29, 2022
Mar 29, 2018$2.7B then
State-registered IARs (5.B.3)9 as of Mar 31, 2023
Mar 29, 20120 then
Employees (5.A)23 as of Mar 31, 2023
Apr 1, 201326 then
Private funds4 as of Mar 31, 2023
Mar 29, 20125 then
RAUM -95% over the last fiscal year-60% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
- RAUM per advisor
- $24.8MderivedRAUM 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
- $55.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -95%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $3.2B, 950 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)
- 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
- Pooled investment vehicles$224M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $3.2B for 950 clientsreported
- 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
- Jeffrey Neil Bluestein to CorientJul 3, 2023 · Other
- Robert Harry Bluestein to CorientJul 3, 2023 · Other
- Kenneth Arthur Smith to CorientJul 3, 2023 · Other
- Kory Ray Bachman to CorientJul 3, 2023 · Other
- Kevin Charles Laplena to CorientJul 3, 2023 · Other
- Joseph Albert Zuccaro to CorientJul 3, 2023 · Other
- Evan William Reilly to CorientJul 3, 2023 · Other
- Randal Ian Goldstein to CorientJul 3, 2023 · Other
- Cena Joyce Larsen to CorientJul 3, 2023 · Other
- James Matthew Skubik to Long Lake Capital Management, LLCJan 14, 2015 · Other
- Scott David Rosenblum to Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 15, 2014 · Other
- Bryan John Mortenson to Long Lake Capital Management, LLCJan 17, 2014 · Other
- Ted N Haddad to Azimuth Capital Management LLCMay 6, 2013 · Other
- Jeremy Joseph Modell to Clarkston Capital Partners, LLCSep 26, 2011 · Other
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Bluestein Tips Fund, LPno longer reported | Other Private Fund | $3.7M | 2 | Mar 29, 2012 |
| Bluestein Private Partners I, LLCno longer reported | Private Equity Fund | $507,000 | 22 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Neil Jeffrey Bluestein · Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- Harry Robert Bluestein · Presidentcontrolsince 02/1991 · owns less than 5%
- Payment Michele Carlson · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- Arthur Kenneth Smith · Chief Financial Officercontrolsince 01/2022 · owns less than 5%
Entity owners
- Ci Private Wealth US LLC · Ownerdirect · owns 75% or more
- Ci Financial Corp · Ownerindirect · owns 75% or more of Ci US Holdings Inc · public reporting company
- Ci Private Wealth Holdings, LLC · Ownerindirect · owns 75% or more of Ci Private Wealth US LLC
- Ci US Holdings Inc · Ownerindirect · owns 75% or more of Ci US, LLC
- Ci US, LLC · Ownerindirect · owns 75% or more of Ci Private Wealth Holdings, LLC
Related persons
Schedule D 7.A
- Corientinvestment adviseryRAUM $165B
- Rhb Funds Gp, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
What changed
consecutive filings, newest first
- Accounts · 1,846 to 4Nov 30, 2022 to Mar 31, 2023
- Advisory activities · 4 to 1Nov 30, 2022 to Mar 31, 2023
- Charity clients · 6.0 to unsetNov 30, 2022 to Mar 31, 2023
- Corporate clients · 8.0 to unsetNov 30, 2022 to Mar 31, 2023
- HNW clients · 946.0 to unsetNov 30, 2022 to Mar 31, 2023
- Individual clients · 84.0 to unsetNov 30, 2022 to Mar 31, 2023
- Pension plan clients · 3.0 to unsetNov 30, 2022 to Mar 31, 2023
- Employees · 28 to 23Nov 30, 2022 to Mar 31, 2023
- Financial planning clients · 101-250 to 0Nov 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.2B to $224MNov 30, 2022 to Mar 31, 2023
- HNW RAUM · 4042641175.0 to unsetNov 30, 2022 to Mar 31, 2023
- Individual RAUM · 25933483.0 to unsetNov 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $276M to $0Nov 30, 2022 to Mar 31, 2023
- Pension RAUM · 12244579.0 to unsetNov 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $281M to $224MNov 30, 2022 to Mar 31, 2023
- RAUM · $4.4B to $224MNov 30, 2022 to Mar 31, 2023
- Wrap assets (manager) · $29.6M to $0Nov 30, 2022 to Mar 31, 2023
- Related adviser · false to trueMar 29, 2022 to Nov 30, 2022
- Accounts · 1,843 to 1,846Jan 26, 2022 to Mar 29, 2022
- Business name · R H BLUESTEIN & CO to R.H. BLUESTEIN & CO LLCJan 26, 2022 to Mar 29, 2022
- Corporate clients · 7 to 8Jan 26, 2022 to Mar 29, 2022
- HNW clients · 941 to 946Jan 26, 2022 to Mar 29, 2022
- Individual clients · 93 to 84Jan 26, 2022 to Mar 29, 2022
- Assets in custody · $3.1B to $3.2BJan 26, 2022 to Mar 29, 2022
- State-registered IARs · 7 to 9Jan 26, 2022 to Mar 29, 2022
- Legal name · R H BLUESTEIN & CO to R.H. BLUESTEIN & CO LLCJan 26, 2022 to Mar 29, 2022
- Discretionary RAUM · $4.1B to $4.2BJan 26, 2022 to Mar 29, 2022
- HNW RAUM · $4.0B to $4.0BJan 26, 2022 to Mar 29, 2022
- Individual RAUM · $29.6M to $25.9MJan 26, 2022 to Mar 29, 2022
- Non-discretionary RAUM · $260M to $276MJan 26, 2022 to Mar 29, 2022
- Pension RAUM · $12.0M to $12.2MJan 26, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $290M to $281MJan 26, 2022 to Mar 29, 2022
- RAUM · $4.4B to $4.4BJan 26, 2022 to Mar 29, 2022
- Succession · true to falseJan 26, 2022 to Mar 29, 2022
- Wrap assets (manager) · $28.8M to $29.6MJan 26, 2022 to Mar 29, 2022
- Accounts · 1,782 to 1,843Mar 30, 2021 to Jan 26, 2022
- Advisory employees · 12 to 11Mar 30, 2021 to Jan 26, 2022
- Advisory activities · 5 to 4Mar 30, 2021 to Jan 26, 2022
- Corporate clients · 8 to 7Mar 30, 2021 to Jan 26, 2022
- HNW clients · 920 to 941Mar 30, 2021 to Jan 26, 2022
Signals
15 dated events
- Kevin Charles Laplena left R.H. Bluestein & Co Llc for Corient (registered 2022-12-05)Jul 3, 2023 · Advisor changed firm · fact
- Joseph Albert Zuccaro left R.H. Bluestein & Co Llc for Corient (registered 2022-12-05)Jul 3, 2023 · Advisor changed firm · fact
- Randal Ian Goldstein left R.H. Bluestein & Co Llc for Corient (registered 2022-12-02)Jul 3, 2023 · Advisor changed firm · fact
- Cena Joyce Larsen left R.H. Bluestein & Co Llc for Corient (registered 2022-12-05)Jul 3, 2023 · Advisor changed firm · fact
- Kenneth Arthur Smith left R.H. Bluestein & Co Llc for Corient (registered 2022-12-05)Jul 3, 2023 · Advisor changed firm · fact
- Robert Harry Bluestein left R.H. Bluestein & Co Llc for Corient (registered 2022-12-02)Jul 3, 2023 · Advisor changed firm · fact
- Jeffrey Neil Bluestein left R.H. Bluestein & Co Llc for Corient (registered 2022-12-02)Jul 3, 2023 · Advisor changed firm · fact
- Kory Ray Bachman left R.H. Bluestein & Co Llc for Corient (registered 2022-12-05)Jul 3, 2023 · Advisor changed firm · fact
- Evan William Reilly left R.H. Bluestein & Co Llc for Corient (registered 2022-12-05)Jul 3, 2023 · Advisor changed firm · fact
- R.H. Bluestein & CO LLC's advisors moved to Corient (Birmingham, MI): 7 of 9 registered, on the same dayJul 3, 2023 · Firm absorbed (people side) · derived
- 2 advisors left R.H. Bluestein & CO LLC (New York, NY) for Corient on the same dayJul 3, 2023 · Team lift-out · derived
- R.H. Bluestein & Co Llc reported RAUM $223.6M, down 95% from $4.4B (2022-11-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- R H Bluestein & Co reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 26, 2022 · Succession (Item 4) · fact
- Arthur Kenneth Smith (Chief Financial Officer) appeared on Schedule A of R.H. Bluestein & Co LlcJan 26, 2022 · Control person joined · fact
- Suzanne Bluestein (Trustee) no longer on Schedule A of R.H. Bluestein & Co Llc (listed 2020-06-25, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- R.H. Bluestein & Co LLC · Private Equityshared crd · organization
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