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

Investacorp Advisory Services Inc

Former SEC-registered adviserMiami, FloridaCRD 109011SEC 801-57738IAPD
Latest filing Jun 26, 2020
First filing on the tape Dec 2, 2011 · 21 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
98%
$2.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
260
260 advisory (5.B.1)
Offices
123
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.2B as of Mar 30, 2020
Mar 30, 2012$1.3B then
HNW client RAUM$1.1B as of Mar 30, 2020
Mar 30, 2018$293M then
State-registered IARs (5.B.3)215 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)260 as of Mar 30, 2020
Mar 28, 2013223 then
Private funds: no history
RAUM -6.3% over the last fiscal year+11% a year over threeIARs 220 to 215
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
RAUM per advisor
$10.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$361,360derivedHNW RAUM over HNW clients
Average account
$226,918derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.7derived124 offices incl. principal (1.F.5)
RAUM growth, one year
-6.3%derivedbetween the last two annual amendments
Advisor growth, one year
-2.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+40%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$94.4MreportedItem 5.I
Custody
$2.4B, 7,016 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.1B51%
  • High-net-worth individuals$1.1B47%
  • Corporations and businesses$25.0M1.1%
  • Pension and profit-sharing plans$13.6M0.6%
Individual clients
6,834reported
HNW clients
2,922reported
Pension plan clients
32reported
Charitable clients
n/areported
Accounts
9,856reported
Financial planning clients
51-100reported
Wrap fee programs
$94.4M sponsored, $0 managedreported
Custody of client assets
$2.4B for 7,016 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
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
  • Anthony Marcus Arneaud · Chief Compliance Officercontrol
    since 05/2012 · owns less than 5%
  • Stanley Stephen Dudas · Svp/Cfocontrol
    since 03/2019 · owns less than 5%
  • Christopher Patrick Farrell · Ceo/ President/ Directorcontrol
    since 02/2008 · owns less than 5%
  • Nina Mckenna · Secretarycontrol
    since 05/2020 · owns less than 5%
  • Dale James Price · Chairmancontrol
    since 05/2020 · owns less than 5%
  • Adam Matthew Schlueter · Executive Vice President, Directorcontrol
    since 05/2020 · owns less than 5%
  • Salvatore Philip Blancato · Director
    since 01/2008 · owns less than 5%
  • Joseph Giovanniello · Director
    since 01/2008 · owns less than 5%
Entity owners
  • Advisor Group Holdings, Inc · Shareholder
    direct · owns 75% or more
  • Ladenburg Thalmann Financial Services · Sole Shareholder Of Investacorp Advisory Services, Inc.
    direct · owns 75% or more · public reporting company
  • Advisor Group Holdings, Inc. · Shareholder
    indirect · owns 75% or more of Ladenburg Thalmann Financial Services
  • Ag Artemis Holdings, L.P. · Shareholder
    indirect · owns 75% or more of Ag Intermediate Corp.
  • Ag Intermediate Corp. · Shareholder
    indirect · owns 75% or more of Ladenburg Thalmann Financial Services
  • Ag Parent Corp. · Shareholder
    indirect · owns 75% or more of Advisor Group Holdings, Inc.
  • Rcp Artemis Co-Invest L.P. · Limited Partner
    indirect · owns 75% or more of Ag Artemis Holdings, L.P.
Related persons
Schedule D 7.A
Advisers that list Investacorp Advisory Services Inc as a related person
Offices
Schedule D 1.F, the 25 largest
  • Fort Lauderdale, FL20 employees
  • Chestnut Hill, MA15 employees
  • Irvine, CA11 employees
  • Wallingford, CT9 employees
  • Manhattan, KS7 employees
  • Trinity, FL6 employees
  • San Antonio, TX6 employees
  • South Windsor, CT6 employees
  • Edna, MN6 employees
  • Williamsville, NY6 employees
  • Auburn, ME5 employees
  • Boca Raton, FL5 employees
  • Glastonbury, CT5 employees
  • Reading, PA5 employees
  • Minneapolis, MN4 employees
  • Lockport, NY3 employees
  • Bonita Springs, FL3 employees
  • Miami, FL3 employees
  • Miami, FL2 employees
  • Selbyville, DE2 employees
  • Daytona Beach, FL2 employees
  • Memphis, TN2 employees
  • New Hartford, CT2 employees
  • Portland, OR2 employees
  • Bellmore, NY2 employees
What changed
consecutive filings, newest first
  • Financial planning clients · 26-50 to 51-100
    Mar 13, 2020 to Mar 30, 2020
  • Discretionary RAUM · $2.0B to $1.8B
    Mar 13, 2020 to Mar 30, 2020
  • HNW RAUM · $1.2B to $1.1B
    Mar 13, 2020 to Mar 30, 2020
  • Individual RAUM · $1.3B to $1.1B
    Mar 13, 2020 to Mar 30, 2020
  • Non-discretionary RAUM · $563M to $480M
    Mar 13, 2020 to Mar 30, 2020
  • Pension RAUM · $16.0M to $13.6M
    Mar 13, 2020 to Mar 30, 2020
  • RAUM · $2.6B to $2.2B
    Mar 13, 2020 to Mar 30, 2020
  • Wrap assets (sponsor) · $33.2M to $94.4M
    Mar 13, 2020 to Mar 30, 2020
  • Accounts · 9,792 to 9,856
    Mar 13, 2020 to Mar 30, 2020
  • Corporate clients · 69 to 68
    Mar 13, 2020 to Mar 30, 2020
  • HNW clients · 2,862 to 2,922
    Mar 13, 2020 to Mar 30, 2020
  • Individual clients · 6,930 to 6,834
    Mar 13, 2020 to Mar 30, 2020
  • Accounts · 7,016 to 9,792
    Mar 29, 2019 to Mar 13, 2020
  • Advisory employees · 270 to 260
    Mar 29, 2019 to Mar 13, 2020
  • BD registered reps · 270 to 260
    Mar 29, 2019 to Mar 13, 2020
  • Corporate clients · 44 to 69
    Mar 29, 2019 to Mar 13, 2020
  • HNW clients · 339 to 2,862
    Mar 29, 2019 to Mar 13, 2020
  • Individual clients · 6,605 to 6,930
    Mar 29, 2019 to Mar 13, 2020
  • Pension plan clients · 28 to 32
    Mar 29, 2019 to Mar 13, 2020
  • Employees · 270 to 260
    Mar 29, 2019 to Mar 13, 2020
  • Insurance-licensed employees · 20 to 15
    Mar 29, 2019 to Mar 13, 2020
  • State-registered IARs · 220 to 215
    Mar 29, 2019 to Mar 13, 2020
  • Discretionary RAUM · $1.9B to $2.0B
    Mar 29, 2019 to Mar 13, 2020
  • HNW RAUM · $649M to $1.2B
    Mar 29, 2019 to Mar 13, 2020
  • Individual RAUM · $1.7B to $1.3B
    Mar 29, 2019 to Mar 13, 2020
  • Non-discretionary RAUM · $475M to $563M
    Mar 29, 2019 to Mar 13, 2020
  • Pension RAUM · $19.8M to $16.0M
    Mar 29, 2019 to Mar 13, 2020
  • RAUM · $2.4B to $2.6B
    Mar 29, 2019 to Mar 13, 2020
  • Accounts · 7,301 to 7,016
    Mar 30, 2018 to Mar 29, 2019
  • Advisory employees · 265 to 270
    Mar 30, 2018 to Mar 29, 2019
  • BD registered reps · 265 to 270
    Mar 30, 2018 to Mar 29, 2019
  • Corporate clients · 57 to 44
    Mar 30, 2018 to Mar 29, 2019
  • HNW clients · 185 to 339
    Mar 30, 2018 to Mar 29, 2019
  • Individual clients · 7,031 to 6,605
    Mar 30, 2018 to Mar 29, 2019
  • Assets in custody · $2.0B to $2.4B
    Mar 30, 2018 to Mar 29, 2019
  • Employees · 265 to 270
    Mar 30, 2018 to Mar 29, 2019
  • Financial planning clients · 11-25 to 26-50
    Mar 30, 2018 to Mar 29, 2019
  • State-registered IARs · 215 to 220
    Mar 30, 2018 to Mar 29, 2019
  • Other offices · 120 to 123
    Mar 30, 2018 to Mar 29, 2019
  • Discretionary RAUM · $1.8B to $1.9B
    Mar 30, 2018 to Mar 29, 2019
Signals
6 dated events
  • 2 advisors left Kaufman Advisory Services, Inc. (Reading, PA) for Investacorp Advisory Services Inc on the same day
    Apr 25, 2022 · Team lift-out · derived
  • Dale James Price (Chairman) appeared on Schedule A of Investacorp Advisory Services Inc
    Jun 26, 2020 · Control person joined · fact
  • Adam Matthew Schlueter (Executive Vice President, Director) appeared on Schedule A of Investacorp Advisory Services Inc
    Jun 26, 2020 · Control person joined · fact
  • Nina Mckenna (Secretary) appeared on Schedule A of Investacorp Advisory Services Inc
    Jun 26, 2020 · Control person joined · fact
  • Stanley Stephen Dudas (Svp/Cfo) appeared on Schedule A of Investacorp Advisory Services Inc
    Mar 29, 2019 · Control person joined · fact
  • Asela Mantecon (Executive Vp/Cfo/Treasurer) no longer on Schedule A of Investacorp Advisory Services Inc (listed 2018-03-30, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
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