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
Altfest Personal Wealth Management
Legal name L.J. Altfest & Co., Inc.
Latest filing Mar 4, 2026
First filing on the tape Mar 28, 2012 · 40 filings
SEC status approved since Feb 2, 1983
RAUM
$1.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.8B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$94.6M
derived; firm RAUM over IAPD count
Employees
42
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.8B as of Mar 4, 2026
Mar 28, 2012$749M then
HNW client RAUM$1.6B as of Mar 4, 2026
Mar 29, 2018$1.0B then
State-registered IARs (5.B.3)19 as of Mar 4, 2026
Jan 29, 20131 then
Employees (5.A)42 as of Mar 4, 2026
Jan 29, 201320 then
Private funds1 as of Mar 4, 2026
Feb 12, 20151 then
RAUM +11% over the last fiscal year+9.0% a year over threeIARs 19 to 19
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $94.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $572,895derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 9.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $432M, 352 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B91%
- Individuals$119M6.6%
- Pooled investment vehicles$19.0M1.1%
- Charitable organizations$14.1M0.8%
- Corporations and businesses$1.9M0.1%
- Individual clients
- 255reported
- HNW clients
- 431reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 3,139reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $432M for 352 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Michael Prendergast | New York, Ny | Jun 1, 2005 | 33 y | 0 |
| Ekta Bhaichand PatelCertified Financial Planner | Columbia, Sc | Sep 18, 2007 | 19 y | 0 |
| Filip Ross WolfeCertified Financial Planner | New York, Ny | Oct 23, 2007 | 21 y | 0 |
| Karen Caplan AltfestCertified Financial Planner | New York, Ny | Jul 23, 2021 | 31 y | 1 |
| Andrew Gamer AltfestCertified Financial Planner | New York, Ny | Jul 27, 2021 | 17 y | 0 |
| Steven Keith NovackCertified Financial Planner | New York, Ny | Aug 2, 2021 | 10 y | 0 |
| Daniel J DucaCertified Financial Planner | New York, Ny | Aug 5, 2021 | 13 y | 0 |
| Feifei XingCertified Financial Planner | New York, Ny | Aug 5, 2021 | 9 y | 0 |
| David Aaron KressnerCertified Financial Planner, Chartered Financial Analyst | New York, Ny | Aug 5, 2021 | 27 y | 2 |
| Lewis Jay AltfestCertified Financial Planner, Personal Financial Specialist | New York, Ny | Aug 9, 2021 | 42 y | 1 |
| Andrew John LaskarisCertified Financial Planner, Chartered Financial Analyst | New York, Ny | Aug 10, 2021 | 10 y | 0 |
| Eric Scott NelsonCertified Financial Planner | New York, Ny | Apr 20, 2022 | 19 y | 2 |
| Christian Joseph DirussoCertified Financial Planner, Chartered Financial Consultant | New York, Ny | Jan 2, 2024 | 13 y | 0 |
| Courtney Belle MckennaCertified Financial Planner | New York, Ny | Jan 6, 2025 | 33 y | 0 |
| Juan Alberto Gonzalez | Bay Harbor Island, Fl | Jan 8, 2025 | 10 y | 0 |
| Eric Joseph Walter | New York, Ny | Sep 4, 2025 | 26 y | 1 |
| Ting WangCertified Financial Planner | New York, Ny | Sep 10, 2025 | 11 y | 0 |
| Tara Shayna KorkusCertified Financial Planner | New York, Ny | Sep 10, 2025 | 10 y | 1 |
| Palak Solanki Forbes | New York, Ny | Jun 3, 2026 | 12 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 16% of current headcount8 left over 36 months
Left, latest
- Jenna Mackenzie Egan to Neuberger Berman Bd LLCMay 29, 2026 · Other
- Jesse Blalock Frehling to Mercer Global Advisors Inc.Nov 24, 2025 · RIA to RIA
- Ryan Everett Graham to Wedmont Private CapitalOct 9, 2025 · RIA to RIA
- Tobin F Walters to Belpointe Asset Management LLCSep 2, 2025 · RIA to RIA
- Jessica Nelson to MarinerOct 31, 2024 · RIA to affiliated broker-dealer or bank
- James Walter Bassett to Wealth Enhancement Advisory Services, LLCJul 23, 2024 · RIA to affiliated broker-dealer or bank
- Dennis Ricardo Huergo to Wealth Enhancement Advisory Services, LLCApr 15, 2024 · RIA to RIA
- Sean Vincent Janni to Jfg Wealth Management, LLCNov 9, 2023 · RIA to RIA
- Christina Ann Shaffer to Allgen Financial Advisors, Inc.Mar 28, 2023 · RIA to RIA
- Elias Kaplan to LidoJul 18, 2022 · RIA to RIA
- Benjamin Daniel Lake to Composition Wealth, LLCJun 29, 2022 · RIA to RIA
- Thomas Bridges Dickey to Inverness Counsel, LLCJun 23, 2022 · RIA to RIA
- Thomas Alan Fredrickson to Cgn Advisors, LLCApr 13, 2015 · Other
- Jeremy David Levinn to Financial Life Focus, LLCApr 13, 2015 · Other
Joined, latest
- Tara Shayna Korkus from J.J. Burns & CompanySep 10, 2025 · RIA to RIA
- Eric Joseph Walter from UBS Financial Services Inc.Sep 4, 2025 · Wirehouse to independent RIA
- Jenna Mackenzie Egan from Vanguard Advisers, Inc.Sep 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- Tobin F Walters from Ramsey & Associates IncJan 2, 2024 · RIA to RIA
- Christina Ann Shaffer from Charles Schwab & Co., Inc.Jul 29, 2022 · Affiliated broker-dealer or bank to independent RIA
- Eric Scott Nelson from Pruco Securities, LLCApr 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- James Walter Bassett from Personal Cfo Solutions LLCAug 11, 2021 · Other
- David Aaron Kressner from Assetmark, Inc.Aug 5, 2021 · Other
- Benjamin Daniel Lake from Lake Partners,Inc.Jul 20, 2021 · RIA to RIA
- Sean Vincent Janni from Prairieview Partners, LLCMar 19, 2021 · RIA to RIA
- Jesse Blalock Frehling from Focused Wealth Management, Inc.Mar 27, 2020 · RIA to RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Altfest Alternative Value Fund I, LLC | Hedge Fund | $12.6M | 24 | May 9, 2014 |
| Arden Woods Real Estate, LLCno longer reported | Hedge Fund | $0 | 0 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- Gamer Andrew Altfest · Presidentcontrolsince 03/2019 · owns 10% to 25%
- Caplan Karen Altfest · Executive Vice President Client Relationscontrolsince 01/1986 · owns less than 5%
- Jay Lewis Altfest · Chief Executive Officercontrolsince 01/1985 · owns less than 5%
- Jay Lewis Altfest · Chief Executive Officercontrolsince 12/2012 · owns 75% or more of Altfest 2012 Family Trust
- Nmn John Valentini · Chief Operations Officer And Chief Compliance Officersince 05/2010 · owns less than 5%
Entity owners
- Altfest 2012 Family Trust · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Altfest Management, LLCpooled vehicle sponsorn
- Ardre Management, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 19 | 1 | 3 | ||
| Whitefishh, Mt | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3,191 to 3,139Sep 11, 2025 to Mar 4, 2026
- HNW clients · 391 to 431Sep 11, 2025 to Mar 4, 2026
- Individual clients · 289 to 255Sep 11, 2025 to Mar 4, 2026
- Pooled vehicle clients · 3 to 4Sep 11, 2025 to Mar 4, 2026
- Assets in custody · $342M to $432MSep 11, 2025 to Mar 4, 2026
- Discretionary RAUM · $1.6B to $1.8BSep 11, 2025 to Mar 4, 2026
- HNW RAUM · $1.4B to $1.6BSep 11, 2025 to Mar 4, 2026
- Individual RAUM · $145M to $119MSep 11, 2025 to Mar 4, 2026
- Pooled vehicle RAUM · $18.0M to $19.0MSep 11, 2025 to Mar 4, 2026
- RAUM · $1.6B to $1.8BSep 11, 2025 to Mar 4, 2026
- Accounts · 3,328 to 3,191Sep 4, 2024 to Feb 24, 2025
- HNW clients · 379 to 391Sep 4, 2024 to Feb 24, 2025
- Individual clients · 294 to 289Sep 4, 2024 to Feb 24, 2025
- Assets in custody · $342M to $342MSep 4, 2024 to Feb 24, 2025
- Financial planning clients · More than 500 to More than 500Sep 4, 2024 to Feb 24, 2025
- Other offices · 0 to 1Sep 4, 2024 to Feb 24, 2025
- Discretionary RAUM · $1.6B to $1.6BSep 4, 2024 to Feb 24, 2025
- HNW RAUM · $1.4B to $1.4BSep 4, 2024 to Feb 24, 2025
- Individual RAUM · $155M to $145MSep 4, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $27.8M to $0Sep 4, 2024 to Feb 24, 2025
- Pooled vehicle RAUM · $17.2M to $18.0MSep 4, 2024 to Feb 24, 2025
- RAUM · $1.6B to $1.6BSep 4, 2024 to Feb 24, 2025
- Assets in custody · $320M to $342MAug 30, 2024 to Sep 4, 2024
- Custody of client assets · false to trueMay 15, 2024 to Aug 30, 2024
- Accounts · 3,283 to 3,328Mar 22, 2023 to Feb 20, 2024
- Advisory employees · 16 to 19Mar 22, 2023 to Feb 20, 2024
- Charity clients · unset to 5.0Mar 22, 2023 to Feb 20, 2024
- HNW clients · 419 to 379Mar 22, 2023 to Feb 20, 2024
- Individual clients · 283 to 294Mar 22, 2023 to Feb 20, 2024
- Pooled vehicle clients · 2 to 3Mar 22, 2023 to Feb 20, 2024
- Assets in custody · $251M to $320MMar 22, 2023 to Feb 20, 2024
- Custody of client assets · true to falseMar 22, 2023 to Feb 20, 2024
- Employees · 37 to 42Mar 22, 2023 to Feb 20, 2024
- State-registered IARs · 1 to 19Mar 22, 2023 to Feb 20, 2024
- Legal name · ALTFEST L J & CO INC to L.J. ALTFEST & CO., INC.Mar 22, 2023 to Feb 20, 2024
- Discretionary RAUM · $1.4B to $1.6BMar 22, 2023 to Feb 20, 2024
- HNW RAUM · $1.2B to $1.4BMar 22, 2023 to Feb 20, 2024
- Individual RAUM · $144M to $155MMar 22, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $16.8M to $27.8MMar 22, 2023 to Feb 20, 2024
- Pooled vehicle RAUM · $16.3M to $17.2MMar 22, 2023 to Feb 20, 2024
Signals
13 dated events
- Jenna Mackenzie Egan left Altfest Personal Wealth Management for Neuberger Berman Bd Llc (registered 2026-06-02)May 29, 2026 · Advisor changed firm · fact
- Jesse Blalock Frehling left Altfest Personal Wealth Management for Mercer Global Advisors Inc. (registered 2025-08-26)Nov 24, 2025 · Advisor changed firm · fact
- Ryan Everett Graham left Altfest Personal Wealth Management for Wedmont Private Capital (registered 2025-10-29)Oct 9, 2025 · Advisor changed firm · fact
- Tobin F Walters left Altfest Personal Wealth Management for Belpointe Asset Management Llc (registered 2025-08-01)Sep 2, 2025 · Advisor changed firm · fact
- Jessica Nelson left Altfest Personal Wealth Management for Mariner (registered 2024-12-02)Oct 31, 2024 · Advisor changed firm · fact
- James Walter Bassett left Altfest Personal Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2025-03-31)Jul 23, 2024 · Advisor changed firm · fact
- Dennis Ricardo Huergo left Altfest Personal Wealth Management for Wealth Enhancement Advisory Services, Llc (registered 2024-03-14)Apr 15, 2024 · Advisor changed firm · fact
- Altfest Personal Wealth Management reported 19 state-registered advisory representatives, up from 1 (2023-03-22 to 2024-02-20)Feb 20, 2024 · Advisor headcount change · derived
- Sean Vincent Janni left Altfest Personal Wealth Management for Jfg Wealth Management, Llc (registered 2023-01-18)Nov 9, 2023 · Advisor changed firm · fact
- Christina Ann Shaffer left Altfest Personal Wealth Management for Allgen Financial Advisors, Inc. (registered 2023-04-14)Mar 28, 2023 · Advisor changed firm · fact
- Elias Kaplan left Altfest Personal Wealth Management for Lido (registered 2022-07-06)Jul 18, 2022 · Advisor changed firm · fact
- Benjamin Daniel Lake left Altfest Personal Wealth Management for Composition Wealth, Llc (registered 2022-04-25)Jun 29, 2022 · Advisor changed firm · fact
- Thomas Bridges Dickey left Altfest Personal Wealth Management for Inverness Counsel, Llc (registered 2022-06-27)Jun 23, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- inquiry@altfest.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- hello@altfest.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 305-714-3012reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-525-8337reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-406-0850reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/altfestpersonalwealthmanagementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ALTFEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-406-0850reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- altfest.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
- $94.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026