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
Alesco Advisors LLC
Latest filing Mar 26, 2025
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Apr 14, 2000
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
43%
$2.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$4.8B as of Mar 26, 2025
Mar 29, 2012$1.4B then
HNW client RAUM$2.0B as of Mar 26, 2025
Mar 29, 2018$1.1B then
State-registered IARs (5.B.3)15 as of Mar 26, 2025
Mar 29, 20120 then
Employees (5.A)27 as of Mar 26, 2025
Apr 1, 201312 then
Private funds: no history
RAUM +8.6% over the last fiscal year+3.0% a year over threeIARs 14 to 15
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
- RAUM per advisor
- $321MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $920M, 135 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$2.4B50%
- High-net-worth individuals$2.0B42%
- Pension and profit-sharing plans$117M2.4%
- Corporations and businesses$98.1M2.0%
- State and municipal entities$92.1M1.9%
- Individuals$65.6M1.4%
- Individual clients
- 137reported
- HNW clients
- 331reported
- Pension plan clients
- 10reported
- Charitable clients
- 115reported
- Accounts
- 1,662reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $8.7M managedreported
- Custody of client assets
- $920M for 135 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
- Cole T Schmitt to Compound Planning, Inc.Jul 12, 2025 · RIA to RIA
- Roshan Patel to Jordan Park Group LLCSep 2, 2022 · RIA to RIA
- Katharine Clark Earhart to Fairlight AdvisorsSep 18, 2019 · Other
- Maya Lis Tussing to Fairlight AdvisorsSep 18, 2019 · Other
Joined, latest
- Stephen Thomas Mitchell from Novem GroupFeb 7, 2023 · RIA to RIA
- Cole T Schmitt from Cetera Advisors LLCSep 2, 2022 · Affiliated broker-dealer or bank to independent RIA
- Frederick James Minges from Federated Investment CounselingJan 22, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 13 left for Alesco Advisors, LLC, An Esl CompanyJan 30, 2026 · Pittsford, Ny · Firm absorbed
- 2 left for Fairlight AdvisorsSep 18, 2019 · Pittsford, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Christopher Brodhead · Chief Growth Officer, Membercontrolsince 05/2021 · owns 5% to 10%
- Michelle Susan Burke · Vp Of Administration, Membercontrolsince 01/2023 · owns less than 5%
- George James Gould · President, Chief Executive Officer, Chief Financial Officer, Manager, Membercontrolsince 02/2000 · owns 50% to 75%
- David Todd Green · Principal, Membercontrolsince 07/2007 · owns 5% to 10%
- Frank Benton Kircher · Chief Compliance Officer, Membercontrolsince 01/2023 · owns less than 5%
- James Frederick Minges · Principal, Treasurer, Member, Managercontrolsince 11/2009 · owns 5% to 10%
- Reade Christopher Mirrione · Chief Investment Officer, Member, Manager, Secretarycontrolsince 10/2020 · 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 |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,615 to 1,662Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 14 to 15Mar 28, 2024 to Mar 26, 2025
- Charity clients · 107 to 115Mar 28, 2024 to Mar 26, 2025
- Corporate clients · 10 to 9Mar 28, 2024 to Mar 26, 2025
- HNW clients · 303 to 331Mar 28, 2024 to Mar 26, 2025
- Individual clients · 155 to 137Mar 28, 2024 to Mar 26, 2025
- Pension plan clients · 13 to 10Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $829M to $920MMar 28, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 26, 2025
- State-registered IARs · 14 to 15Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.4B to $4.8BMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $1.8B to $2.0BMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $72.4M to $65.6MMar 28, 2024 to Mar 26, 2025
- Pension RAUM · $171M to $117MMar 28, 2024 to Mar 26, 2025
- RAUM · $4.4B to $4.8BMar 28, 2024 to Mar 26, 2025
- Wrap assets (manager) · $7.8M to $8.7MMar 28, 2024 to Mar 26, 2025
- Accounts · 1,554 to 1,615Jul 20, 2023 to Mar 28, 2024
- Charity clients · 103 to 107Jul 20, 2023 to Mar 28, 2024
- Corporate clients · 7 to 10Jul 20, 2023 to Mar 28, 2024
- HNW clients · 285 to 303Jul 20, 2023 to Mar 28, 2024
- Individual clients · 174 to 155Jul 20, 2023 to Mar 28, 2024
- Pension plan clients · 17 to 13Jul 20, 2023 to Mar 28, 2024
- Assets in custody · $922M to $829MJul 20, 2023 to Mar 28, 2024
- Other offices · 1 to 0Jul 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.2B to $4.4BJul 20, 2023 to Mar 28, 2024
- HNW RAUM · $1.6B to $1.8BJul 20, 2023 to Mar 28, 2024
- Individual RAUM · $79.0M to $72.4MJul 20, 2023 to Mar 28, 2024
- Pension RAUM · $187M to $171MJul 20, 2023 to Mar 28, 2024
- RAUM · $4.2B to $4.4BJul 20, 2023 to Mar 28, 2024
- Wrap assets (manager) · $7.0M to $7.8MJul 20, 2023 to Mar 28, 2024
- Accounts · 1,397 to 1,554Jan 24, 2023 to Mar 23, 2023
- Advisory employees · 13 to 14Jan 24, 2023 to Mar 23, 2023
- Charity clients · 92 to 103Jan 24, 2023 to Mar 23, 2023
- Corporate clients · 18 to 7Jan 24, 2023 to Mar 23, 2023
- HNW clients · 363 to 285Jan 24, 2023 to Mar 23, 2023
- Individual clients · 103 to 174Jan 24, 2023 to Mar 23, 2023
- Pension plan clients · 16 to 17Jan 24, 2023 to Mar 23, 2023
- Assets in custody · $960M to $922MJan 24, 2023 to Mar 23, 2023
- Employees · 21 to 27Jan 24, 2023 to Mar 23, 2023
- Financial planning clients · 26-50 to 51-100Jan 24, 2023 to Mar 23, 2023
Signals
10 dated events
- Alesco Advisors Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $4.8B)Feb 2, 2026 · Left the SEC roster · derived
- Alesco Advisors LLC's advisors moved to Alesco Advisors, LLC, AN Esl Company (Pittsford, NY): 13 of 13 registered, on the same dayJan 30, 2026 · Firm absorbed (people side) · derived
- Cole T Schmitt left Alesco Advisors Llc for Compound Planning, Inc. (registered 2025-07-18)Jul 12, 2025 · Advisor changed firm · fact
- Michelle Susan Burke (Vp Of Administration, Member) appeared on Schedule A of Alesco Advisors LlcMar 23, 2023 · Control person joined · fact
- Benton Kircher (Chief Compliance Officer, Member) appeared on Schedule A of Alesco Advisors LlcJan 18, 2023 · Control person joined · fact
- Dana Jeffrey Bradley (Chief Compliance Officer, Member) no longer on Schedule A of Alesco Advisors Llc (listed 2023-01-12, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Roshan Patel left Alesco Advisors Llc for Jordan Park Group Llc (registered 2022-09-08)Sep 2, 2022 · Advisor changed firm · fact
- Alesco Advisors Llc reported 13 state-registered advisory representatives, up from 1 (2021-03-31 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
- Christopher Brodhead (Chief Growth Officer, Member) appeared on Schedule A of Alesco Advisors LlcMar 31, 2022 · Control person joined · fact
- Reade Christopher Mirrione (Chief Investment Officer, Member) appeared on Schedule A of Alesco Advisors LlcOct 21, 2020 · 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