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.
SEC-registered adviser
Feldstein, Steven Dba Steven Feldstein & Associates
Legal name Steven Feldstein & Associates
Latest filing Feb 24, 2026
First filing on the tape Feb 29, 2012 · 23 filings
SEC status approved since Feb 1, 1999
RAUM
$160M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$160M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$160M as of Feb 24, 2026
Feb 29, 2012$90.6M then
HNW client RAUM$160M as of Feb 24, 2026
Mar 29, 2018$120M then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Mar 26, 20132 then
Employees (5.A)4 as of Feb 24, 2026
Mar 26, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $304,183derivedHNW RAUM over HNW clients
- Average account
- $216,216derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- 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)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M100%
- Individual clients
- n/areported
- HNW clients
- 526reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 740reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steven FeldsteinCertified Financial Planner, Chartered Financial Consultant | Basking Ridge, Nj | Jan 1, 2026 | 38 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Keith M Chasen to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 20, 2013 · Other
- Tara L Jakubik to Morgan StanleyMay 7, 2013 · Other
- Catherine Angela Maniscalco Avery to Caim LLCOct 1, 2009 · Other
- Sean Riley Eldred to Citigroup Global Markets Inc.Oct 17, 2005 · Other
Joined, latest
- Tara L Jakubik from Gitterman Wealth Management, LLCJan 21, 2013 · Other
- Keith M Chasen from World Advisory ServicesJan 26, 2012 · Other
- Catherine Angela Maniscalco Avery from Merrill Lynch Investment Managers LPAug 16, 2007 · Other
- Sean Riley Eldred from Equitable Advisors, LLCJan 23, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Steven Feldstein · Chief Compliance Officer And Managing Membercontrolsince 08/1974 · owns 75% or more
- Avis Gardell · Membersince 03/2014 · owns less than 5%
Related persons
Schedule D 7.A
- Feldstein Financial Group, LLCbroker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 24, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 735 to 740Feb 13, 2025 to Feb 24, 2026
- HNW clients · 519 to 526Feb 13, 2025 to Feb 24, 2026
- HNW RAUM · $139M to $160MFeb 13, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $139M to $160MFeb 13, 2025 to Feb 24, 2026
- RAUM · $139M to $160MFeb 13, 2025 to Feb 24, 2026
- Accounts · 525 to 735Jun 12, 2024 to Feb 13, 2025
- HNW clients · 525 to 519Jun 12, 2024 to Feb 13, 2025
- Financial planning clients · 251-500 to 251-500Jun 12, 2024 to Feb 13, 2025
- HQ city · unset to Jun 12, 2024 to Feb 13, 2025
- HQ state · unset to Jun 12, 2024 to Feb 13, 2025
- HNW RAUM · $120M to $139MJun 12, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $120M to $139MJun 12, 2024 to Feb 13, 2025
- RAUM · $120M to $139MJun 12, 2024 to Feb 13, 2025
- Accounts · 701 to 525Mar 31, 2023 to Mar 1, 2024
- HNW clients · 701 to 525Mar 31, 2023 to Mar 1, 2024
- HNW RAUM · $103M to $120MMar 31, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $103M to $120MMar 31, 2023 to Mar 1, 2024
- RAUM · $103M to $120MMar 31, 2023 to Mar 1, 2024
- Accounts · 707 to 701Mar 30, 2022 to Mar 31, 2023
- HNW clients · 707 to 701Mar 30, 2022 to Mar 31, 2023
- HNW RAUM · $121M to $103MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $121M to $103MMar 30, 2022 to Mar 31, 2023
- RAUM · $121M to $103MMar 30, 2022 to Mar 31, 2023
- Accounts · 693 to 707Mar 31, 2021 to Mar 30, 2022
- HNW clients · 693 to 707Mar 31, 2021 to Mar 30, 2022
- HNW RAUM · $104M to $121MMar 31, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $104M to $121MMar 31, 2021 to Mar 30, 2022
- RAUM · $104M to $121MMar 31, 2021 to Mar 30, 2022
- Accounts · 700 to 693Jun 24, 2020 to Mar 31, 2021
- HNW clients · 700 to 693Jun 24, 2020 to Mar 31, 2021
- Employees · 2 to 4Jun 24, 2020 to Mar 31, 2021
- HNW RAUM · $101M to $104MJun 24, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $101M to $104MJun 24, 2020 to Mar 31, 2021
- RAUM · $101M to $104MJun 24, 2020 to Mar 31, 2021
- Accounts · 900 to 700Mar 25, 2019 to Mar 10, 2020
- BD registered reps · 4 to 2Mar 25, 2019 to Mar 10, 2020
- HNW clients · 900 to 700Mar 25, 2019 to Mar 10, 2020
- Employees · 4 to 2Mar 25, 2019 to Mar 10, 2020
- State-registered IARs · 2 to 1Mar 25, 2019 to Mar 10, 2020
- HNW RAUM · $120M to $101MMar 25, 2019 to Mar 10, 2020
Signals
1 dated events
- Feldstein, Steven Dba Steven Feldstein & Associates reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 31, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 908-879-2552reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 908-879-9559reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FINANCIAL-ADVISOR.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-879-9559reportedpublic record, Form ADV, Feb 24, 2026
- Contact form
- thefinancial-advisor.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026