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

American Portfolios Advisors, Inc

Former SEC-registered adviserHolbrook, New YorkCRD 112697SEC 801-61065IAPD
Legal name American Portfolios Advisors. Inc
Latest filing Aug 1, 2024
First filing on the tape Mar 29, 2012 · 57 filings
RAUM
$13B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
93%
$12B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
700
600 advisory (5.B.1)
Offices
312
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$13B as of Mar 15, 2024
Mar 29, 2012$1.8B then
HNW client RAUM$7.1B as of Mar 15, 2024
Mar 30, 2018$600M then
State-registered IARs (5.B.3)533 as of Mar 15, 2024
Mar 28, 20133 then
Employees (5.A)700 as of Mar 15, 2024
Mar 28, 20136 then
Private funds: no history
RAUM +56% over the last fiscal year+7.7% a year over threeIARs 590 to 533
Practice profile
derived from the filing of Aug 1, 2024; every figure names its basis
RAUM per advisor
$24.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$785,999derivedHNW RAUM over HNW clients
Average account
$239,833derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.7derived313 offices incl. principal (1.F.5)
RAUM growth, one year
+56%derivedbetween the last two annual amendments
Advisor growth, one year
-9.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody
$12.6M, 13 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$7.1B54%
  • Individuals$5.1B39%
  • Charitable organizations$404M3.1%
  • Pension and profit-sharing plans$264M2.0%
  • Corporations and businesses$246M1.9%
Individual clients
25,477reported
HNW clients
9,053reported
Pension plan clients
275reported
Charitable clients
104reported
Accounts
54,553reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$12.6M for 13 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
  • Gerard Harold Chaffee · Ccocontrol
    since 08/2024 · owns less than 5%
  • Terry Lon Dolber · Chief Executive Officercontrol
    since 01/2015 · owns less than 5%
  • Ann Melissa Dolbergrappone · Vice President Of Marketing & Corporate Communicationscontrol
    since 01/2015 · owns less than 5%
  • Bruce Gary Gordon · Presidentcontrol
    since 01/2015 · owns less than 5%
  • Bradley Damon Joyner · Chief Financial Officercontrol
    since 01/2017 · owns less than 5%
  • Dale James Price · Chairmancontrol
    since 10/2022 · owns less than 5%
  • Adam Matthew Schlueter · Executive Vice Presidentcontrol
    since 10/2022 · owns less than 5%
  • Abby Henig · Assistant Secretary
    since 10/2022 · owns less than 5%
  • Nina Mckenna · Assistant Secretary
    since 10/2022 · owns less than 5%
  • Andrew David Schmidt · Treasurer
    since 10/2022 · owns less than 5%
  • Robert Scott Seiffert · Chief Accounting Officer
    since 10/2022 · owns less than 5%
Entity owners
  • 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 LLC
  • Ag Parent Corporation · Shareholder
    indirect · owns 75% or more of Osaic Holdings, Inc
  • Ladenburg Thalmann Financial Services LLC · Shareholder
    indirect · owns 75% or more of Ag Parent Corporation
  • Osaic Holdings, Inc · Shareholder
    indirect · owns 75% or more of American Portfolios Holdings, Inc
  • American Portfolios Holdings, Inc · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list American Portfolios Advisors, Inc as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Delray Beach, Fl000
Holbrook, Ny · principal000
Jacksonville, Fl000
Rochester, Ny000
Offices
Schedule D 1.F, the 25 largest
  • Rochester, NY16 employees
  • Pittsford, NY15 employees
  • Rochester, NY11 employees
  • Ponte Vedra Beach, FL9 employees
  • Clifton Park, NY9 employees
  • Newtown, PA8 employees
  • Denver, CO8 employees
  • Marlton, NJ7 employees
  • New York, NY7 employees
  • Jericho, NY5 employees
  • Pittsford, NY5 employees
  • Amherst, NY5 employees
  • Malta, NY4 employees
  • Wyomissing, PA4 employees
  • Boca Raton, FL4 employees
  • Floral Park, NY4 employees
  • Fort Wayne, IN4 employees
  • Hauppauge, NY4 employees
  • Hauppauge, NY4 employees
  • Houston, TX4 employees
  • Manasquan, NJ4 employees
  • Moorestown, NJ4 employees
  • New York, NY4 employees
  • Smithtown, NY4 employees
  • Stuart, FL4 employees
What changed
consecutive filings, newest first
  • Employees · 610 to 700
    Mar 14, 2024 to Mar 15, 2024
  • Insurance-licensed employees · 10 to 100
    Mar 14, 2024 to Mar 15, 2024
  • Financial planning clients · 251-500 to 51-100
    Mar 14, 2024 to Mar 15, 2024
  • State-registered IARs · 590 to 533
    Mar 14, 2024 to Mar 15, 2024
  • Discretionary RAUM · $6.1B to $9.5B
    Mar 14, 2024 to Mar 15, 2024
  • HNW RAUM · $2.6B to $7.1B
    Mar 14, 2024 to Mar 15, 2024
  • Individual RAUM · $5.5B to $5.1B
    Mar 14, 2024 to Mar 15, 2024
  • Non-discretionary RAUM · $2.3B to $3.6B
    Mar 14, 2024 to Mar 15, 2024
  • Pension RAUM · $153M to $264M
    Mar 14, 2024 to Mar 15, 2024
  • RAUM · $8.4B to $13B
    Mar 14, 2024 to Mar 15, 2024
  • Accounts · 38,533 to 54,553
    Mar 14, 2024 to Mar 15, 2024
  • Advisory employees · 590 to 600
    Mar 14, 2024 to Mar 15, 2024
  • BD registered reps · 590 to 532
    Mar 14, 2024 to Mar 15, 2024
  • Charity clients · 82 to 104
    Mar 14, 2024 to Mar 15, 2024
  • Corporate clients · 100 to 229
    Mar 14, 2024 to Mar 15, 2024
  • HNW clients · 1,308 to 9,053
    Mar 14, 2024 to Mar 15, 2024
  • Individual clients · 35,954 to 25,477
    Mar 14, 2024 to Mar 15, 2024
  • Pension plan clients · 480 to 275
    Mar 14, 2024 to Mar 15, 2024
  • Assets in custody · $6.9B to $12.6M
    Mar 14, 2024 to Mar 15, 2024
  • Accounts · 39,427 to 38,533
    Dec 2, 2022 to Mar 6, 2023
  • Advisory employees · 600 to 590
    Dec 2, 2022 to Mar 6, 2023
  • BD registered reps · 600 to 590
    Dec 2, 2022 to Mar 6, 2023
  • Charity clients · 76 to 82
    Dec 2, 2022 to Mar 6, 2023
  • Corporate clients · 477 to 100
    Dec 2, 2022 to Mar 6, 2023
  • HNW clients · 1,513 to 1,308
    Dec 2, 2022 to Mar 6, 2023
  • Individual clients · 35,449 to 35,954
    Dec 2, 2022 to Mar 6, 2023
  • Pension plan clients · 1,912 to 480
    Dec 2, 2022 to Mar 6, 2023
  • Assets in custody · unset to 6890131000.0
    Dec 2, 2022 to Mar 6, 2023
  • Custody of client assets · false to true
    Dec 2, 2022 to Mar 6, 2023
  • Employees · 620 to 610
    Dec 2, 2022 to Mar 6, 2023
  • State-registered IARs · 600 to 590
    Dec 2, 2022 to Mar 6, 2023
  • Discretionary RAUM · $7.2B to $6.1B
    Dec 2, 2022 to Mar 6, 2023
  • HNW RAUM · $3.0B to $2.6B
    Dec 2, 2022 to Mar 6, 2023
  • Individual RAUM · $6.3B to $5.5B
    Dec 2, 2022 to Mar 6, 2023
  • Non-discretionary RAUM · $3.0B to $2.3B
    Dec 2, 2022 to Mar 6, 2023
  • Pension RAUM · $243M to $153M
    Dec 2, 2022 to Mar 6, 2023
  • RAUM · $10B to $8.4B
    Dec 2, 2022 to Mar 6, 2023
  • Related adviser · false to true
    Dec 2, 2022 to Mar 6, 2023
  • Accounts · 41,049 to 39,427
    Sep 24, 2021 to Mar 31, 2022
  • Advisory employees · 55 to 600
    Sep 24, 2021 to Mar 31, 2022
Signals
60 dated events
  • John Parise left American Portfolios Advisors, Inc for Copper Beech Wealth Management (registered 2009-12-16)
    Oct 12, 2024 · Advisor changed firm · fact
  • Ronit Rogoszinski left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Larry Bernard Hughes left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-16)
    Oct 11, 2024 · Advisor changed firm · fact
  • Connie Louise Stein Neff left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Jubin Keyvan left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-11-05)
    Oct 11, 2024 · Advisor changed firm · fact
  • 9 advisors left American Portfolios Advisors, Inc (Holbrook, NY) for Novem Group on the same day
    Oct 11, 2024 · Team lift-out · derived
  • Vincent John Cacciatore left American Portfolios Advisors, Inc for Murphy & Mullick Capital Management Corp (registered 2024-08-23)
    Oct 11, 2024 · Advisor changed firm · fact
  • Stanley Alterman left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Lawrence Todd Larmer left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Gary Blayde Davis left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-14)
    Oct 11, 2024 · Advisor changed firm · fact
  • Walter Hugh Brown left American Portfolios Advisors, Inc for Equitable Advisors, Llc (registered 2024-10-05)
    Oct 11, 2024 · Advisor changed firm · fact
  • Ernest Mark Caponegro left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-15)
    Oct 11, 2024 · Advisor changed firm · fact
  • Patrick Christian Mcgovern left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Joseph Leo Rooyakkers left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Brett David Shofner left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-15)
    Oct 11, 2024 · Advisor changed firm · fact
  • Ernest Vorpahl left American Portfolios Advisors, Inc for East End Financial Group, Inc. (registered 2021-05-22)
    Oct 11, 2024 · Advisor changed firm · fact
  • Amy Alice Marchitello left American Portfolios Advisors, Inc for S Squared Retirement Solutions Llc (registered 2024-04-24)
    Oct 11, 2024 · Advisor changed firm · fact
  • Steven Bruce Baker left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Mark A Cirelli left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Michael John Murphy left American Portfolios Advisors, Inc for Murphy & Mullick Capital Management Corp (registered 2024-08-23)
    Oct 11, 2024 · Advisor changed firm · fact
  • Adam C Morgan left American Portfolios Advisors, Inc for Novem Group (registered 2018-11-14)
    Oct 11, 2024 · Advisor changed firm · fact
  • Dennis Gene Mcmillin left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-14)
    Oct 11, 2024 · Advisor changed firm · fact
  • Gregory Stanley Kuras left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-12)
    Oct 11, 2024 · Advisor changed firm · fact
  • Paula Marie Rogala left American Portfolios Advisors, Inc for Novem Group (registered 2024-10-11)
    Oct 11, 2024 · Advisor changed firm · fact
  • Anthony Leo Ritter left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-15)
    Oct 11, 2024 · Advisor changed firm · fact
  • Robert Joseph Bartolotta left American Portfolios Advisors, Inc for Novem Group (registered 2019-10-24)
    Oct 11, 2024 · Advisor changed firm · fact
  • Jonathan Lee Gassman left American Portfolios Advisors, Inc for Gassman Financial Group (registered 2021-07-09)
    Oct 11, 2024 · Advisor changed firm · fact
  • Thomas Christopher Froehlich left American Portfolios Advisors, Inc for Froehlich Financial Group, Ltd. (registered 2017-03-31)
    Oct 11, 2024 · Advisor changed firm · fact
  • Ryan R Weier left American Portfolios Advisors, Inc for Osaic Advisory Services, Llc (registered 2024-10-15)
    Oct 11, 2024 · Advisor changed firm · fact
  • Michael Parise left American Portfolios Advisors, Inc for Family Office Partners, Inc. (registered 2017-06-08)
    Oct 11, 2024 · 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.
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