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
Cadaret Grant & Co Inc
Legal name Cadaret, Grant & Co., Inc.
Latest filing Jul 15, 2025
First filing on the tape Jan 30, 2012 · 59 filings
SEC status approved since Nov 23, 1992
RAUM
$7.7B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$7.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
692
429 advisory (5.B.1)
Offices
250
beyond the principal office
Private funds
0
reported on Schedule D
History
59 filings and snapshots on the tape
RAUM$7.7B as of Jul 15, 2025
Mar 29, 2012$2.1B then
HNW client RAUM$3.2B as of Jul 15, 2025
Mar 29, 2018$886M then
State-registered IARs (5.B.3)429 as of Jul 15, 2025
Mar 25, 2013240 then
Employees (5.A)692 as of Jul 15, 2025
Mar 25, 20131,000 then
Private funds: no history
RAUM +12% over the last fiscal year+6.7% a year over threeIARs 489 to 429offices 287 to 250
Practice profile
derived from the filing of Jul 15, 2025; every figure names its basis
- RAUM per advisor
- $17.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $301,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived251 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $3.2BreportedItem 5.I
- Custody
- $1.7B, 4,252 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$4.2B55%
- High-net-worth individuals$3.2B42%
- Corporations and businesses$150M2.0%
- Pension and profit-sharing plans$94.0M1.2%
- Charitable organizations$33.5M0.4%
- Individual clients
- 16,189reported
- HNW clients
- 1,418reported
- Pension plan clients
- 133reported
- Charitable clients
- 49reported
- Accounts
- 25,442reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $1.7B for 4,252 clientsreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days184 left over 36 months
Left, latest
- Jennifer Catherine Hayes to LPL Financial LLCDec 9, 2025 · Affiliated broker-dealer or bank to another
- Alexis Schumann to Next Financial Group, Inc.Dec 9, 2025 · Affiliated broker-dealer or bank to another
- Michelle Kendall to LPL Financial LLCDec 9, 2025 · Affiliated broker-dealer or bank to another
- Mandy Marie Shekleton to Voya Financial Advisors, Inc.Sep 5, 2025 · Affiliated broker-dealer or bank to another
- Jennifer Thompson to LPL Financial LLCAug 12, 2025 · Affiliated broker-dealer or bank to another
- Peter John Coulon to Kestra Advisory Services, LLCAug 1, 2025 · Affiliated broker-dealer or bank to another
- Matthew Abold to LPL Financial LLCAug 1, 2025 · Affiliated broker-dealer or bank to another
- Susana Vasquez Franco to Sofi Wealth LLCAug 1, 2025 · Affiliated broker-dealer or bank to another
- Chase Cavanaugh to Beacon Wealth Consultants, Inc.Aug 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Thomas Alan Graber to Transamerica Financial Advisors, LLCAug 1, 2025 · Affiliated broker-dealer or bank to another
- Judith M Noffke to Lincoln InvestmentAug 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Pamela Sue Kenaston to Principal Securities, Inc.Aug 1, 2025 · Affiliated broker-dealer or bank to another
- Robert Michael Kiff to Citizens Securities, Inc.Aug 1, 2025 · Affiliated broker-dealer or bank to another
- Jadie Driscoll to Valic Financial Advisors, Inc.Aug 1, 2025 · Affiliated broker-dealer or bank to another
- Philip Henry Allen to Advisors Capital Management, LLCAug 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Jennifer Catherine Hayes from LPL Financial LLCJul 14, 2025 · Affiliated broker-dealer or bank to another
- Donald Raymond Murtaugh from Wells Fargo AdvisorsMay 12, 2025 · Wirehouse to affiliated broker-dealer or bank
- Bradley Joseph Sparbanie from Eagle Strategies LLCMay 6, 2025 · Affiliated broker-dealer or bank to another
- Andrew Simms from Nationwide Investment Advisors, LLCMar 17, 2025 · Affiliated broker-dealer or bank to another
- Angela L Burns from LPL Financial LLCFeb 3, 2025 · Affiliated broker-dealer or bank to another
- Tiiffany Mah Maclean from Hornor, Townsend & Kent, LLCJan 29, 2025 · Affiliated broker-dealer or bank to another
- James Richard Coupe from Edward JonesNov 21, 2024 · Affiliated broker-dealer or bank to another
- Joseph J Correia from Equitable Advisors, LLCOct 24, 2024 · Affiliated broker-dealer or bank to another
- Jessica Lynn Fontaine from Morgan StanleyOct 7, 2024 · Wirehouse to affiliated broker-dealer or bank
- Ha Nguyen from Rockefeller Capital ManagementSep 18, 2024 · Affiliated broker-dealer or bank to another
- Robert Michael Kiff from Park Avenue Securities LLCAug 12, 2024 · Other
- Nathaniel Turner Clark from Cetera Investment Advisers LLCAug 12, 2024 · Affiliated broker-dealer or bank to another
- Michael Craig Welch from Citizens Securities, Inc.Jul 24, 2024 · Affiliated broker-dealer or bank to another
- Bernard Graham Young from MML Investors Services, LLCJul 9, 2024 · Affiliated broker-dealer or bank to another
- Alexis Schumann from Osaic Wealth, Inc.Jun 24, 2024 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for LPL Financial LLCOct 20, 2025 · Syracuse, Ny · Firm absorbed
- 2 left for Progressive Financial Planning Services Inc.Jul 10, 2025 · Jericho, Ny
- 5 left for Wny Asset Management, LLCJul 10, 2025 · Orchard Park, Ny
- 2 left for American Investment Planners LLCJul 10, 2025 · Boca Raton, Fl
- 3 left for American Investment Planners LLCJul 10, 2025 · Jericho, Ny
- 5 left for Post Resch Tallon GroupJul 10, 2025 · Pittsford, Ny
- 2 left for Prentice Wealth Management LLCJul 10, 2025 · Baldwinsville, Ny
- 6 left for Sgroi Wealth Advisory Group LLCJul 10, 2025 · West Seneca, Ny
- 9 joined from Cedar Brook GroupJul 1, 2024 · Cleveland, Oh · Firm absorbed
- 4 joined from Woodbury Financial Services, Inc.Dec 13, 2023 · Scottsdale, Az
- 2 joined from Woodbury Financial Services, Inc.Dec 13, 2023 · Mckinney, Tx
- 5 joined from Securities America Advisors, Inc.Dec 6, 2023 · Worthington, Oh
- 2 joined from Securities America Advisors, Inc.Jun 9, 2023 · Glastonbury, Ct
- 4 joined from Flagstar Securities, Inc.Jun 1, 2023 · Garden City, Ny
- 3 joined from Securities America Advisors, Inc.May 12, 2023 · Glastonbury, Ct
- 3 joined from Securities America Advisors, Inc.May 9, 2023 · La Vista, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Douglas John Ketterer · Chairman Of The Boardcontrolsince 10/2018 · owns less than 5%
- William Paul Morrissey · Presidentcontrolsince 01/2023 · owns less than 5%
- Alexis V Schumann · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- Eugene Henri Elias Jr · Directorsince 10/2018 · owns less than 5%
- Christopher Fredric Herrel · Head Of Supervisionsince 08/2023 · owns less than 5%
- Trisha Lynn Tymkiw · Principal Financial Officersince 05/2022 · owns less than 5%
- Laura Nicole White · Advisory Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- Aws 4, Inc. · Shareholderdirect · owns 75% or more
- Atria Wealth Solutions, Inc. · Shareholderindirect · owns 75% or more of Aws 4, Inc.
- LPL Financial Holdings Inc. · Parent Companyindirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
- LPL Holdings, Inc. · Shareholderindirect · owns 75% or more of Atria Wealth Solutions, Inc.
Related persons
Schedule D 7.A
- Cfs Insurance And Technology Services, LLCreal estaten
- Cuso Financial Services, L.P.broker-dealerinvestment adviserreal estatenRAUM $5.4B
- Fiduciary Trust Company Of New Hampshiren
- Grove Point Advisors, LLCinvestment advisernRAUM $2.5B
- H. Beck, Inc.broker-dealerreal estatenRAUM $2.0B
- LPL Enterprise, LLCbroker-dealerinvestment adviserreal estatenRAUM $25B
- LPL Financial LLCbroker-dealerinvestment adviserreal estatenRAUM $819B
- LPL Insurance Associates, Inc.real estaten
- Next Financial Group, Inc.broker-dealerinvestment adviserreal estatenRAUM $3.8B
- Next Financial Insurance Services Companyreal estaten
- Scf Investment Advisors, Inc.investment advisernRAUM $1.3B
- Scf Securities, Inc.broker-dealerreal estaten
- Sorrento Pacific Financial, LLCbroker-dealerinvestment adviserreal estatenRAUM $222M
- The Private Trust Company, N.A.n
- Western International Securitiesbroker-dealerinvestment adviserreal estatenRAUM $3.5B
Advisers that list Cadaret Grant & Co Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Altoona, Pa | 0 | 0 | 0 | ||
| Amherst, Ny | 0 | 0 | 0 | ||
| Baldwinsville, Ny | 0 | 0 | 0 | ||
| Batavia, Ny | 0 | 0 | 0 | ||
| Blandon, Pa | 0 | 0 | 0 | ||
| Boardman, Oh | 0 | 0 | 0 | ||
| Boca Raton, Fl | 0 | 0 | 0 | ||
| Burnt Hills, Ny | 0 | 0 | 0 | ||
| Clarence, Ny | 0 | 0 | 0 | ||
| Dewitt, Ny | 0 | 0 | 0 | ||
| Dunbarton, Nh | 0 | 0 | 0 | ||
| E Syracuse, Ny | 0 | 0 | 0 | ||
| Garden City, Ny | 0 | 0 | 0 | ||
| Hershey, Pa | 0 | 0 | 0 | ||
| Jericho, Ny | 0 | 0 | 0 | ||
| Kirkville, Ny | 0 | 0 | 0 | ||
| Louisville, Tn | 0 | 0 | 0 | ||
| Melville, Ny | 0 | 0 | 0 | ||
| Nutley, Nj | 0 | 0 | 0 | ||
| Orchard Park, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Little Silver, NJ26 employees
- Jericho, NY20 employees
- Niagara Falls, NY17 employees
- Cleveland, OH17 employees
- , 13 employees
- Birmingham Farms, MI13 employees
- West Seneca, NY13 employees
- Pittsford, NY9 employees
- Latham, NY9 employees
- Orchard Park, NY9 employees
- Boca Raton, FL7 employees
- Clarence, NY7 employees
- Glastonbury, CT6 employees
- Williamsville, NY6 employees
- Altoona, PA6 employees
- Chattanooga, TN6 employees
- Hornell, NY6 employees
- Palatine Bridge, NY5 employees
- Little Falls, NY5 employees
- Toledo, OH5 employees
- East Syracuse, NY5 employees
- Syracuse, NY5 employees
- Schuyler, NY5 employees
- St. Augustine, FL5 employees
- Glendale, AZ5 employees
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250May 2, 2025 to Jul 15, 2025
- Accounts · 25,405 to 25,442Jan 3, 2025 to Mar 28, 2025
- Advisory employees · 489 to 429Jan 3, 2025 to Mar 28, 2025
- Advisory activities · 6 to 5Jan 3, 2025 to Mar 28, 2025
- BD registered reps · 571 to 519Jan 3, 2025 to Mar 28, 2025
- Charity clients · 65 to 49Jan 3, 2025 to Mar 28, 2025
- Corporate clients · 81 to 99Jan 3, 2025 to Mar 28, 2025
- HNW clients · 1,166 to 1,418Jan 3, 2025 to Mar 28, 2025
- Individual clients · 16,910 to 16,189Jan 3, 2025 to Mar 28, 2025
- Pension plan clients · 131 to 133Jan 3, 2025 to Mar 28, 2025
- Assets in custody · $1.5B to $1.7BJan 3, 2025 to Mar 28, 2025
- Employees · 761 to 692Jan 3, 2025 to Mar 28, 2025
- Insurance-licensed employees · 75 to 61Jan 3, 2025 to Mar 28, 2025
- State-registered IARs · 489 to 429Jan 3, 2025 to Mar 28, 2025
- Other offices · 287 to 250Jan 3, 2025 to Mar 28, 2025
- Discretionary RAUM · $6.8B to $7.5BJan 3, 2025 to Mar 28, 2025
- HNW RAUM · $2.5B to $3.2BJan 3, 2025 to Mar 28, 2025
- Individual RAUM · $4.2B to $4.2BJan 3, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $103M to $127MJan 3, 2025 to Mar 28, 2025
- Pension RAUM · $82.3M to $94.0MJan 3, 2025 to Mar 28, 2025
- RAUM · $6.9B to $7.7BJan 3, 2025 to Mar 28, 2025
- Accounts · 23,861 to 25,405Nov 17, 2023 to Mar 28, 2024
- Advisory employees · 513 to 489Nov 17, 2023 to Mar 28, 2024
- Advisory activities · 5 to 6Nov 17, 2023 to Mar 28, 2024
- BD registered reps · 584 to 571Nov 17, 2023 to Mar 28, 2024
- Charity clients · 61 to 65Nov 17, 2023 to Mar 28, 2024
- Corporate clients · 114 to 81Nov 17, 2023 to Mar 28, 2024
- HNW clients · 628 to 1,166Nov 17, 2023 to Mar 28, 2024
- Individual clients · 16,847 to 16,910Nov 17, 2023 to Mar 28, 2024
- Pension plan clients · 124 to 131Nov 17, 2023 to Mar 28, 2024
- Assets in custody · $2.2B to $1.5BNov 17, 2023 to Mar 28, 2024
- Employees · 726 to 761Nov 17, 2023 to Mar 28, 2024
- Insurance-licensed employees · 98 to 75Nov 17, 2023 to Mar 28, 2024
- Financial planning clients · 26-50 to 101-250Nov 17, 2023 to Mar 28, 2024
- State-registered IARs · 513 to 489Nov 17, 2023 to Mar 28, 2024
- Other offices · 300 to 287Nov 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $5.8B to $6.8BNov 17, 2023 to Mar 28, 2024
- HNW RAUM · $1.4B to $2.5BNov 17, 2023 to Mar 28, 2024
- Individual RAUM · $4.2B to $4.2BNov 17, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $39.4M to $103MNov 17, 2023 to Mar 28, 2024
Signals
60 dated events
- Cadaret Grant & Co Inc no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $7.7B)Jan 2, 2026 · Left the SEC roster · derived
- Jennifer Catherine Hayes left Cadaret Grant & Co Inc for Lpl Financial Llc (registered 2025-07-16)Dec 9, 2025 · Advisor changed firm · fact
- Alexis Schumann left Cadaret Grant & Co Inc for Next Financial Group, Inc. (registered 2025-11-04)Dec 9, 2025 · Advisor changed firm · fact
- Michelle Kendall left Cadaret Grant & Co Inc for Lpl Financial Llc (registered 2025-08-21)Dec 9, 2025 · Advisor changed firm · fact
- Cadaret Grant & CO Inc's advisors moved to LPL Financial LLC (Syracuse, NY): 3 of 6 registered, within 4 daysOct 20, 2025 · Firm absorbed (people side) · derived
- Mandy Marie Shekleton left Cadaret Grant & Co Inc for Voya Financial Advisors, Inc. (registered 2025-12-08)Sep 5, 2025 · Advisor changed firm · fact
- Jennifer Thompson left Cadaret Grant & Co Inc for Lpl Financial Llc (registered 2025-05-28)Aug 12, 2025 · Advisor changed firm · fact
- Pamela Sue Kenaston left Cadaret Grant & Co Inc for Principal Securities, Inc. (registered 2025-08-25)Aug 1, 2025 · Advisor changed firm · fact
- Robert Michael Kiff left Cadaret Grant & Co Inc for Citizens Securities, Inc. (registered 2025-08-04)Aug 1, 2025 · Advisor changed firm · fact
- Philip Henry Allen left Cadaret Grant & Co Inc for Advisors Capital Management, Llc (registered 2026-09-01)Aug 1, 2025 · Advisor changed firm · fact
- Susana Vasquez Franco left Cadaret Grant & Co Inc for Sofi Wealth Llc (registered 2026-03-27)Aug 1, 2025 · Advisor changed firm · fact
- Peter John Coulon left Cadaret Grant & Co Inc for Kestra Advisory Services, Llc (registered 2025-09-10)Aug 1, 2025 · Advisor changed firm · fact
- Chase Cavanaugh left Cadaret Grant & Co Inc for Beacon Wealth Consultants, Inc. (registered 2025-11-17)Aug 1, 2025 · Advisor changed firm · fact
- Judith M Noffke left Cadaret Grant & Co Inc for Lincoln Investment (registered 2026-01-06)Aug 1, 2025 · Advisor changed firm · fact
- Thomas Alan Graber left Cadaret Grant & Co Inc for Transamerica Financial Advisors, Llc (registered 2025-08-15)Aug 1, 2025 · Advisor changed firm · fact
- Matthew Abold left Cadaret Grant & Co Inc for Lpl Financial Llc (registered 2026-02-16)Aug 1, 2025 · Advisor changed firm · fact
- Jadie Driscoll left Cadaret Grant & Co Inc for Valic Financial Advisors, Inc. (registered 2025-10-06)Aug 1, 2025 · Advisor changed firm · fact
- Bryan Wyckoff left Cadaret Grant & Co Inc for State Farm Investment Management Corp. (registered 2025-07-30)Jul 25, 2025 · Advisor changed firm · fact
- James Gordon Durso left Cadaret Grant & Co Inc for Blackridge Asset Management, Llc (registered 2025-08-11)Jul 14, 2025 · Advisor changed firm · fact
- Matthew Mcanulty left Cadaret Grant & Co Inc for Sgroi Wealth Advisory Group Llc (registered 2022-07-18)Jul 11, 2025 · Advisor changed firm · fact
- Edward James Skibicki left Cadaret Grant & Co Inc for Cambridge Investment Research Advisors, Inc. (registered 2025-07-18)Jul 11, 2025 · Advisor changed firm · fact
- Jennifer Lynn Jurek no longer registered at Cadaret Grant & Co Inc; no later IA registration on IAPDJul 10, 2025 · Advisor departure · fact
- Christopher D Urban left Cadaret Grant & Co Inc for Wny Asset Management, Llc (registered 2023-09-18)Jul 10, 2025 · Advisor changed firm · fact
- Kerry Patrick Tallon left Cadaret Grant & Co Inc for Post Resch Tallon Group (registered 2021-06-16)Jul 10, 2025 · Advisor changed firm · fact
- Daniel John German left Cadaret Grant & Co Inc for Warner Wealth (registered 2026-04-21)Jul 10, 2025 · Advisor changed firm · fact
- Michelle Denise Werth left Cadaret Grant & Co Inc for Prentice Wealth Management Llc (registered 2023-03-10)Jul 10, 2025 · Advisor changed firm · fact
- John Charles L'Abbate left Cadaret Grant & Co Inc for American Investment Planners Llc (registered 2021-06-14)Jul 10, 2025 · Advisor changed firm · fact
- Kimberly Evelyn Kowalski left Cadaret Grant & Co Inc for Wny Asset Management, Llc (registered 2025-06-20)Jul 10, 2025 · Advisor changed firm · fact
- Thomas Patrick Campbell left Cadaret Grant & Co Inc for Csi Group Advisors, Llc (registered 2025-11-18)Jul 10, 2025 · Advisor changed firm · fact
- Patrick Joseph Sgroi left Cadaret Grant & Co Inc for Sgroi Wealth Advisory Group Llc (registered 2018-01-30)Jul 10, 2025 · Advisor changed firm · 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