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

Gofen And Glossberg, L.L.C.

Former SEC-registered adviserChicago, IllinoisCRD 107859SEC 801-54610IAPD
Latest filing Mar 1, 2023
First filing on the tape Mar 21, 2012 · 25 filings
RAUM
$6.5B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
85%
$5.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$6.5B as of Feb 10, 2022
Mar 21, 2012$2.8B then
HNW client RAUM$4.9B as of Feb 10, 2022
Mar 28, 2018$3.5B then
State-registered IARs (5.B.3)15 as of Feb 10, 2022
Mar 21, 20120 then
Employees (5.A)37 as of Feb 10, 2022
Mar 25, 201327 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 14 to 15
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$432MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
225derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
15.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+7.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.5%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$2.1B, 1,014 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
  • High-net-worth individuals$4.9B75%
  • Individuals$648M10%
  • Corporations and businesses$397M6.1%
  • Charitable organizations$377M5.8%
  • Pension and profit-sharing plans$113M1.7%
  • Insurance companies$54.2M0.8%
  • State and municipal entities$1.8M0.0%
Individual clients
2,121reported
HNW clients
1,252reported
Pension plan clients
44reported
Charitable clients
83reported
Accounts
3,573reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$2.1B for 1,014 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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Mark Brown · L.L.C. Member / General Counselcontrol
      since 09/2005 · owns less than 5%
    • Samuel Charles Gofen · Executive Committee Member/L.L.C. Member / Portfolio Managercontrol
      since 05/1997 · owns less than 5%
    • Behr Peter Kupferberg · Executive Committee/L.L.C. Member / Portfolio Managercontrol
      since 05/1997 · owns less than 5%
    • Triston Larry Nakamura · Chief Compliance Officercontrol
      since 02/2023 · owns less than 5%
    • Joseph Michael Stelmacki · Executive Committee Member/L.L.C. Member / Research Directorcontrol
      since 06/2000 · owns less than 5%
    • Hongwu Wang · L.L.C. Member/Chief Information Officercontrol
      since 07/2016 · owns less than 5%
    Entity owners
    • Ci Private Wealth, LLC · Owner
      direct · owns 75% or more
    • Ci Financial Corp · Owner
      indirect · owns 75% or more of Ci US Holdings Inc. · public reporting company
    • Ci US Holdings Inc. · Owner
      indirect · owns 75% or more of Ci US, LLC
    • Ci US, LLC · Owner
      indirect · owns 75% or more of Cipw Holdings, LLC
    • Cipw Holdings, LLC · Owner
      indirect · owns 75% or more of Ci Private Wealth, LLC
    Related persons
    Schedule D 7.A
    • Corient
      investment adviseryRAUM $165B
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Feb 10, 2022 to Dec 22, 2022
    • Accounts · 3,409 to 3,573
      Jan 4, 2022 to Feb 10, 2022
    • Advisory employees · 13 to 15
      Jan 4, 2022 to Feb 10, 2022
    • Charity clients · 79 to 83
      Jan 4, 2022 to Feb 10, 2022
    • Corporate clients · 66 to 70
      Jan 4, 2022 to Feb 10, 2022
    • HNW clients · 1,105 to 1,252
      Jan 4, 2022 to Feb 10, 2022
    • Individual clients · 2,061 to 2,121
      Jan 4, 2022 to Feb 10, 2022
    • Assets in custody · $1.5B to $2.1B
      Jan 4, 2022 to Feb 10, 2022
    • Employees · 35 to 37
      Jan 4, 2022 to Feb 10, 2022
    • State-registered IARs · 14 to 15
      Jan 4, 2022 to Feb 10, 2022
    • Discretionary RAUM · $5.3B to $6.2B
      Jan 4, 2022 to Feb 10, 2022
    • HNW RAUM · $4.1B to $4.9B
      Jan 4, 2022 to Feb 10, 2022
    • Individual RAUM · $621M to $648M
      Jan 4, 2022 to Feb 10, 2022
    • Non-discretionary RAUM · $280M to $320M
      Jan 4, 2022 to Feb 10, 2022
    • Pension RAUM · $116M to $113M
      Jan 4, 2022 to Feb 10, 2022
    • RAUM · $5.6B to $6.5B
      Jan 4, 2022 to Feb 10, 2022
    • Accounts · 3,218 to 3,409
      Jul 2, 2020 to Feb 3, 2021
    • Charity clients · 80 to 79
      Jul 2, 2020 to Feb 3, 2021
    • Corporate clients · 57 to 66
      Jul 2, 2020 to Feb 3, 2021
    • HNW clients · 1,040 to 1,105
      Jul 2, 2020 to Feb 3, 2021
    • Individual clients · 1,989 to 2,061
      Jul 2, 2020 to Feb 3, 2021
    • Pension plan clients · 47 to 44
      Jul 2, 2020 to Feb 3, 2021
    • Assets in custody · $1.4B to $1.5B
      Jul 2, 2020 to Feb 3, 2021
    • State-registered IARs · 13 to 14
      Jul 2, 2020 to Feb 3, 2021
    • Discretionary RAUM · $4.7B to $5.3B
      Jul 2, 2020 to Feb 3, 2021
    • HNW RAUM · $3.6B to $4.1B
      Jul 2, 2020 to Feb 3, 2021
    • Individual RAUM · $595M to $621M
      Jul 2, 2020 to Feb 3, 2021
    • Non-discretionary RAUM · $261M to $280M
      Jul 2, 2020 to Feb 3, 2021
    • Pension RAUM · $112M to $116M
      Jul 2, 2020 to Feb 3, 2021
    • RAUM · $5.0B to $5.6B
      Jul 2, 2020 to Feb 3, 2021
    • Accounts · 3,093 to 3,218
      Nov 19, 2019 to Mar 2, 2020
    • Advisory employees · 14 to 13
      Nov 19, 2019 to Mar 2, 2020
    • Corporate clients · 56 to 57
      Nov 19, 2019 to Mar 2, 2020
    • HNW clients · 886 to 1,040
      Nov 19, 2019 to Mar 2, 2020
    • Individual clients · 2,018 to 1,989
      Nov 19, 2019 to Mar 2, 2020
    • Pension plan clients · 48 to 47
      Nov 19, 2019 to Mar 2, 2020
    • Assets in custody · $1.2B to $1.4B
      Nov 19, 2019 to Mar 2, 2020
    • Employees · 27 to 35
      Nov 19, 2019 to Mar 2, 2020
    • Discretionary RAUM · $3.9B to $4.7B
      Nov 19, 2019 to Mar 2, 2020
    • HNW RAUM · $2.9B to $3.6B
      Nov 19, 2019 to Mar 2, 2020
    Signals
    25 dated events
    • Molly Bergin Carl left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • Julie Roman left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • John Joseph Ptak left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • Michael A Benoit left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • Joseph Berkson Glossberg left Gofen And Glossberg, L.L.C. for Corient (registered 2023-01-03)
      Mar 31, 2023 · Advisor changed firm · fact
    • Daniel John Sobol left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • Peter Behr Kupferberg left Gofen And Glossberg, L.L.C. for Corient (registered 2023-01-03)
      Mar 31, 2023 · Advisor changed firm · fact
    • Charles Samuel Gofen left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • James Gordon Borovsky left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • Mary Patricia Mckinley left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • Scott Jarrett Frazin left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
      Mar 31, 2023 · Advisor changed firm · fact
    • Gofen And Glossberg, L.L.C.'s advisors moved to Corient (Chicago, IL): 11 of 11 registered, on the same day
      Mar 31, 2023 · Firm absorbed (people side) · derived
    • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Gofen And Glossberg, L.L.C.
      Mar 1, 2023 · Control person joined · fact
    • Berkson Joseph Glossberg (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • R. Mark Goodman (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • Gordon James Borovsky (Executive Committee Member / L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • John Daniel Sobol (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • William John Myers (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • Todd Jonathan Vree (L.L.C. Member/Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • Patricia Mary Burke (L.L.C. Member/Senior Research Analyst) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • Jarrett Scott Frazin (L.L.C. Member/Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • Joseph John Ptak (L.L.C. Member/Senior Research Analyst) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
      Jan 4, 2022 · Control person left · inference
    • Harold William Gofen (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2019-11-19, absent 2020-03-02)
      Mar 2, 2020 · Control person left · inference
    • Jarrett Scott Frazin (L.L.C. Member/Portfolio Manager) appeared on Schedule A of Gofen And Glossberg, L.L.C.
      Nov 19, 2019 · Control person joined · fact
    • Joseph John Ptak (L.L.C. Member/Senior Research Analyst) appeared on Schedule A of Gofen And Glossberg, L.L.C.
      Nov 19, 2019 · Control person joined · 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