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
Vanderbilt Advisory Services
Legal name Pfg Investments, LLC
Latest filing Feb 27, 2026
First filing on the tape Sep 13, 2012 · 90 filings
SEC status approved since Oct 23, 2012
RAUM
$2.1B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$2.0B individuals and HNW
Advisors
166
registered through the firm on IAPD
RAUM per advisor
$12.7M
derived; firm RAUM over IAPD count
Employees
161
144 advisory (5.B.1)
Offices
43
beyond the principal office
Private funds
0
reported on Schedule D
History
90 filings and snapshots on the tape
RAUM$2.1B as of Feb 27, 2026
Mar 27, 2013$33.8M then
HNW client RAUM$939M as of Feb 27, 2026
Nov 28, 2017$60.0M then
State-registered IARs (5.B.3)144 as of Feb 27, 2026
Mar 27, 20136 then
Employees (5.A)161 as of Feb 27, 2026
Mar 27, 201332 then
Private funds: no history
RAUM +30% over the last fiscal year+30% a year over threeIARs 132 to 144
Practice profile
derived from the filing of Feb 27, 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)
- RAUM per advisor
- $12.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $326,379derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.8derived44 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.1B52%
- High-net-worth individuals$939M44%
- Pension and profit-sharing plans$62.2M2.9%
- Corporations and businesses$20.0M0.9%
- Charitable organizations$1.7M0.1%
- Individual clients
- 5,804reported
- HNW clients
- 395reported
- Pension plan clients
- 243reported
- Charitable clients
- 8reported
- Accounts
- 6,470reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=131.0derived
Advisors registered through the firm
158 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jennefer L WalshCertified Financial Planner | Woodbury, Ny | May 31, 2008 | 23 y | 1 |
| Stephen Alfred Distante | Woodbury, Ny | Aug 19, 2010 | 34 y | 0 |
| Jeffrey Bill BakerCertified Financial Planner | Woodbury, Ny | Jul 11, 2011 | 41 y | 1 |
| Valentina Solomita | Woodbury, Ny | Aug 26, 2013 | 35 y | 2 |
| Philip Michael Scholler | Dublin, Oh | Sep 3, 2015 | 26 y | 4 |
| Peter Christopher Cook | Woodbury, Ny | Oct 30, 2015 | 39 y | 2 |
| John William Brower | Long Island City, Ny | May 25, 2016 | 37 y | 0 |
| Gregory John Mistovich | Hudson, Ma | Jul 12, 2016 | 45 y | 2 |
| David Richard Laliberte | Hudson, Ma | Jul 14, 2016 | 27 y | 0 |
| George Matthew Drakos | Forest Hills, Ny | Aug 29, 2016 | 38 y | 0 |
| Simon Kin Man Chung | Woodbury, Ny | Sep 1, 2016 | 38 y | 0 |
| Stephen Jay Kaufman | Freehold, Nj | Sep 22, 2016 | 32 y | 4 |
| Joseph Henry Johnson | Woodbury, Ny | Oct 26, 2016 | 42 y | 0 |
| Michael Edward Gorman | Summit, Nj | Nov 1, 2016 | 54 y | 0 |
| Larry Dale Worden | Woodbury, Ny | Dec 14, 2016 | 21 y | 3 |
| Michael Damian Evans | Woodbury, Ny | May 30, 2017 | 32 y | 1 |
| Michael Swift Smith | Newmarket, Nh | Jul 5, 2017 | 27 y | 1 |
| Theresa Timmerman | North Reading, Ma | Jul 5, 2017 | 20 y | 3 |
| Stuart Taylor Valentine | Fairfield, Ia | Jul 6, 2017 | 26 y | 1 |
| Todd Manning Walker | Wells, Vt | Jul 10, 2017 | 26 y | 1 |
| Jina Amelia Rachel Penn-Tracy | Minneapolis, Mn | Jul 10, 2017 | 16 y | 1 |
| Hunter Davidson Brownlie | Newmarket, Nh | Jul 26, 2017 | 33 y | 1 |
| Mehul Mahendra Thakker | Woodbury, Ny | Jul 27, 2017 | 25 y | 1 |
| Thomas Francis Ray | Petaluma, Ca | Aug 11, 2017 | 21 y | 2 |
| Max Jacob Mintz | Woodbury, Ny | Aug 29, 2017 | 10 y | 1 |
| Craig Robert Walker | Montpelier, Vt | Jan 4, 2018 | 10 y | 0 |
| Sam Kodari | Woodbury, Ny | Jan 5, 2018 | 38 y | 2 |
| David Steven Litras | Woodbury, Ny | Jul 13, 2018 | 28 y | 3 |
| Chris Alfred Nelson | Yardley, Pa | Sep 23, 2019 | 43 y | 2 |
| Anya Sophia Gage | Minneapolis, Mn | Oct 24, 2019 | 13 y | 0 |
| Michelle Argero Malacinski | Woodbury, Ny | Jan 2, 2020 | 18 y | 3 |
| Thomas Allen Jack | Woodbury, Ny | Jan 3, 2020 | 19 y | 4 |
| Thomas James Kachel | Woodbury, Ny | Jan 7, 2020 | 33 y | 1 |
| Lynn Morris Kachel | Rockville, Va | Jan 7, 2020 | 27 y | 0 |
| David Patrick Stewart | Norwalk, Ct | Mar 5, 2020 | 24 y | 3 |
| Theodore Michael Hirsch | Fairfield, Ia | Mar 18, 2020 | 14 y | 0 |
| Milan K. Madhani | Woodbury, Ny | Jun 17, 2020 | 25 y | 1 |
| Daniel Martin-Noboru Ward | Woodbury, Ny | Jul 14, 2020 | 11 y | 2 |
| William T Adamski | Woodbury, Ny | Jul 20, 2020 | 25 y | 2 |
| Erik William Hayden | Woodbury, Ny | Jul 27, 2020 | 12 y | 1 |
Advisor movement
4 left, 23 joined in 12 months
net +19 in 12 months1 left in 90 days3 joined in 90 daysdeparture rate 2.4% of current headcount11 left over 36 months
Left, latest
- William Paul Fauzio to Osaic Wealth, Inc.Aug 7, 2026 · Affiliated broker-dealer or bank to another
- Timothy Thomas Drake to Telos Capital Management, Inc.Jan 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- Cary Edward Urich to Consolidated Portfolio Review CorpDec 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Tyler Keegan to Osaic Wealth, Inc.Nov 7, 2025 · Affiliated broker-dealer or bank to another
- Hagop Jack Karadanaian to Lazari Capital Management, Inc.Aug 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gale Ann Brodie to Centaurus Financial, Inc.Jul 11, 2025 · Affiliated broker-dealer or bank to another
- Sean Hantes to The Pitti Group Wealth Management, LLCMay 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- James Richard Sophia to Bankers Life Advisory Services, Inc.Mar 19, 2025 · Affiliated broker-dealer or bank to another
- Regina V Frias to Centaurus Financial, Inc.Dec 31, 2024 · Affiliated broker-dealer or bank to another
- Daniel J Nelson to Park Avenue Securities LLCSep 13, 2024 · Affiliated broker-dealer or bank to another
- Thomas John Lorenz to Webull Advisors LLCJul 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- Albert Bruce Moore to Supreme Alliance LLCAug 31, 2023 · Affiliated broker-dealer or bank to independent RIA
- Douglas P Geraghty to Consolidated Portfolio Review CorpAug 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- Thomas Wayne Meissner to Blackridge Asset Management, LLCJul 7, 2023 · Affiliated broker-dealer or bank to another
- Christopher Daniel Corritore to Osaic Wealth, Inc.Jun 15, 2023 · Affiliated broker-dealer or bank to another
Joined, latest
- Stefan Austin Burke from LPL Financial LLCAug 27, 2026 · Affiliated broker-dealer or bank to another
- Zachary S Deminno from Cetera Investment Advisers LLCJul 24, 2026 · Affiliated broker-dealer or bank to another
- James C Deminno from Cetera Investment Advisers LLCJul 9, 2026 · Affiliated broker-dealer or bank to another
- John Jay Higgins from Commonwealth Financial NetworkJun 18, 2026 · Affiliated broker-dealer or bank to another
- Sharlene Jamison from Gwn Securities Inc.Mar 19, 2026 · Affiliated broker-dealer or bank to another
- Amos Akinyooye from Cetera Investment Advisers LLCMar 3, 2026 · Affiliated broker-dealer or bank to another
- Brian Kenneth Altounian from Miramontes Capital, LLCMar 2, 2026 · RIA to affiliated broker-dealer or bank
- John David Dickey from Transamerica Financial Advisors, LLCFeb 25, 2026 · Affiliated broker-dealer or bank to another
- Timothy Ballard White from Ip Financial Advisory Services LLCFeb 17, 2026 · RIA to affiliated broker-dealer or bank
- Joshua Patrick Helvie from LPL Financial LLCFeb 13, 2026 · Affiliated broker-dealer or bank to another
- Brenda R Trachsel from Edward JonesJan 26, 2026 · Affiliated broker-dealer or bank to another
- Michele Joi Delsordo from J. W. Cole Advisors, Inc.Jan 21, 2026 · Affiliated broker-dealer or bank to another
- Emmett Dewitt Newton from Stifel Independent Advisors, LLCJan 14, 2026 · Affiliated broker-dealer or bank to another
- Matthew D Weglarz from Wells Fargo AdvisorsJan 5, 2026 · Wirehouse to affiliated broker-dealer or bank
- Gary Charles Gray from Cetera Investment Advisers LLCNov 18, 2025 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Cetera Investment Advisers LLCJul 15, 2026 · New City, Ny
- 2 joined from Cetera Investment Advisers LLCNov 19, 2025 · Anaheim, Ca
- 3 joined from Spire Wealth Management, LLCOct 31, 2025 · Irvine, Ca
- 2 joined from Spire Wealth Management, LLCOct 31, 2025 · Mclean, Va
- 3 joined from Cadaret Grant & Co IncAug 2, 2024 · Syracuse, Ny
- 2 joined from Ameriprise Financial Services, LLCJul 18, 2024 · Indianapolis, In
- 3 joined from Westport Capital Markets, LLCJun 9, 2021 · Westport, Ct · Firm absorbed
- 2 joined from Kms Financial Services, IncOct 30, 2020 · Vancouver, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Daniel Jr Antenor · Chief Operations Officercontrolsince 01/2022 · owns less than 5%
- Alfred Stephen Distante · Ceocontrolsince 09/2000 · owns less than 5%
- Lynn Megan Plapp · Chief Financial Officer Officercontrolsince 10/2018 · owns less than 5%
- John Joseph Trifiletti · Presidentcontrolsince 12/2019 · owns less than 5%
- Matthew Steven Howe · Director Of Business Developmentsince 01/2024 · owns less than 5%
- Denise Michelle Thomas · Chief Compliance Officersince 01/2024 · owns less than 5%
Entity owners
- 3dw Holdings Ltd, D/B/A Vfg · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- 3d Wealth Insurance Services, LLCreal estatey
- Annuity Depot Dba Vanderbilt Insurancereal estaten
- Ark Global, LLCbroker-dealery
- Consolidated Portfolio Review Corpinvestment adviseryRAUM $1.6B
- Diefendorf Planning Services, Ltd.real estatey
- Impactu.Investments, LLCbroker-dealery
- Retirement Planning & Administration, Inc.LP sponsory
- Vanderbilt Securities, LLCbroker-dealern
Advisers that list Vanderbilt Advisory Services as a related person
- 112694 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woodbury, Ny · principal | 156 | 26 | 2 | ||
| Irvine, Ca | 5 | 5 | 1 | ||
| Rochester, Ny | 4 | 1 | 0 | ||
| Fairfield, Ia | 4 | 0 | 0 | ||
| Montpelier, Vt | 3 | 1 | 0 | ||
| Westport, Ct | 3 | 0 | 0 | ||
| Jericho, Ny | 2 | 1 | 0 | ||
| Canandaigua, Ny | 2 | 0 | 0 | ||
| Metuchen, Nj | 2 | 0 | 0 | ||
| Minneapolis, Mn | 2 | 0 | 0 | ||
| New City, Ny | 2 | 2 | 0 | ||
| Newmarket, Nh | 2 | 0 | 0 | ||
| Rockville, Va | 2 | 0 | 0 | ||
| Twisp, Wa | 2 | 0 | 0 | ||
| Yorba Linda, Ca | 2 | 2 | 0 | ||
| Elmira, Ny | 2 | 0 | 0 | ||
| Fayeteville, Ny | 2 | 0 | 0 | ||
| Frisco, Tx | 2 | 0 | 0 | ||
| Hudson, Ma | 2 | 0 | 0 | ||
| Elk Grove, Ca | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Westport, CT5 employees
- Rochester, NY4 employees
- Fayetteville, NY3 employees
- Calabasas, CA3 employees
- Totowa, NJ2 employees
- Lombard, IL2 employees
- North Reading, MA2 employees
- Portland, OR2 employees
- Long Island City, NY2 employees
- Metuchen, NJ2 employees
- Minneapolis, MN2 employees
- Rockville, VA2 employees
- Tierra Verde, FL1 employees
- Elk Grove, CA1 employees
- Twisp, WA1 employees
- Dublin, OH1 employees
- Freehold, NJ1 employees
- Arvada, CO1 employees
- San Jose, CA1 employees
- Fruitland Park, FL1 employees
- Henderson, NV1 employees
- Yardley, PA1 employees
- Westminster, MD1 employees
- Elmira, NY1 employees
- Carle Place, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 6,469 to 6,470Aug 13, 2025 to Nov 28, 2025
- Advisory employees · 124 to 144Aug 13, 2025 to Nov 28, 2025
- BD registered reps · 132 to 131Aug 13, 2025 to Nov 28, 2025
- Charity clients · 5 to 8Aug 13, 2025 to Nov 28, 2025
- Corporate clients · 24 to 20Aug 13, 2025 to Nov 28, 2025
- HNW clients · 282 to 395Aug 13, 2025 to Nov 28, 2025
- Individual clients · 6,155 to 5,804Aug 13, 2025 to Nov 28, 2025
- Pension plan clients · unset to 243.0Aug 13, 2025 to Nov 28, 2025
- Employees · 132 to 161Aug 13, 2025 to Nov 28, 2025
- Insurance-licensed employees · 3 to 5Aug 13, 2025 to Nov 28, 2025
- State-registered IARs · 132 to 144Aug 13, 2025 to Nov 28, 2025
- Discretionary RAUM · $1.6B to $1.9BAug 13, 2025 to Nov 28, 2025
- HNW RAUM · $655M to $939MAug 13, 2025 to Nov 28, 2025
- Individual RAUM · $948M to $1.1BAug 13, 2025 to Nov 28, 2025
- Non-discretionary RAUM · $7.2M to $176MAug 13, 2025 to Nov 28, 2025
- Pension RAUM · $380,556 to $62.2MAug 13, 2025 to Nov 28, 2025
- RAUM · $1.6B to $2.1BAug 13, 2025 to Nov 28, 2025
- Financial planning clients · 101-250 to 101-250May 15, 2025 to Jul 11, 2025
- BD registered reps · 101 to 132Jun 11, 2024 to Nov 25, 2024
- Charity clients · 4 to 5Jun 11, 2024 to Nov 25, 2024
- Corporate clients · 19 to 24Jun 11, 2024 to Nov 25, 2024
- Accounts · 5,069 to 6,469Jun 11, 2024 to Nov 25, 2024
- Advisory employees · 107 to 124Jun 11, 2024 to Nov 25, 2024
- HNW clients · 171 to 282Jun 11, 2024 to Nov 25, 2024
- Individual clients · 4,871 to 6,155Jun 11, 2024 to Nov 25, 2024
- Pension plan clients · 2.0 to unsetJun 11, 2024 to Nov 25, 2024
- Employees · 107 to 132Jun 11, 2024 to Nov 25, 2024
- Financial planning clients · 51-100 to 101-250Jun 11, 2024 to Nov 25, 2024
- State-registered IARs · 93 to 132Jun 11, 2024 to Nov 25, 2024
- Other offices · 25 to 43Jun 11, 2024 to Nov 25, 2024
- Discretionary RAUM · $1.0B to $1.6BJun 11, 2024 to Nov 25, 2024
- HNW RAUM · $365M to $655MJun 11, 2024 to Nov 25, 2024
- Individual RAUM · $725M to $948MJun 11, 2024 to Nov 25, 2024
- Non-discretionary RAUM · $55.2M to $7.2MJun 11, 2024 to Nov 25, 2024
- Pension RAUM · $277,805 to $380,556Jun 11, 2024 to Nov 25, 2024
- RAUM · $1.1B to $1.6BJun 11, 2024 to Nov 25, 2024
- Accounts · 4,329 to 5,069Aug 22, 2023 to Nov 24, 2023
- Advisory employees · 100 to 107Aug 22, 2023 to Nov 24, 2023
- BD registered reps · 103 to 101Aug 22, 2023 to Nov 24, 2023
- Charity clients · 6 to 4Aug 22, 2023 to Nov 24, 2023
Signals
49 dated events
- Christopher Andrew Arellano registered as an investment adviser representative at Vanderbilt Advisory ServicesSep 16, 2026 · Advisor registered · fact
- William Paul Fauzio left Vanderbilt Advisory Services for Osaic Wealth, Inc. (registered 2026-08-07)Aug 7, 2026 · Advisor changed firm · fact
- 2 advisors left Cetera Investment Advisers LLC (New City, NY) for Vanderbilt Advisory Services within 6 daysJul 15, 2026 · Team lift-out · derived
- Timothy Thomas Drake left Vanderbilt Advisory Services for Telos Capital Management, Inc. (registered 2026-01-21)Jan 15, 2026 · Advisor changed firm · fact
- Cary Edward Urich left Vanderbilt Advisory Services for Consolidated Portfolio Review Corp (registered 2025-05-01)Dec 31, 2025 · Advisor changed firm · fact
- Vanderbilt Advisory Services reported RAUM $2.1B, up 30% from $1.6B (2025-08-13 to 2025-11-28)Nov 28, 2025 · RAUM change · derived
- 2 advisors left Cetera Investment Advisers LLC (Anaheim, CA) for Vanderbilt Advisory Services within 9 daysNov 19, 2025 · Team lift-out · derived
- Tyler Keegan left Vanderbilt Advisory Services for Osaic Wealth, Inc. (registered 2026-04-09)Nov 7, 2025 · Advisor changed firm · fact
- 4 advisors left Spire Wealth Management, LLC (Mclean, VA) for Vanderbilt Advisory Services on the same dayOct 31, 2025 · Team lift-out · derived
- 3 advisors left Spire Wealth Management, LLC (Irvine, CA) for Vanderbilt Advisory Services on the same dayOct 31, 2025 · Team lift-out · derived
- Hagop Jack Karadanaian left Vanderbilt Advisory Services for Lazari Capital Management, Inc. (registered 2025-08-13)Aug 5, 2025 · Advisor changed firm · fact
- Gale Ann Brodie left Vanderbilt Advisory Services for Centaurus Financial, Inc. (registered 2025-07-14)Jul 11, 2025 · Advisor changed firm · fact
- Sean Hantes left Vanderbilt Advisory Services for The Pitti Group Wealth Management, Llc (registered 2025-05-16)May 9, 2025 · Advisor changed firm · fact
- James Richard Sophia left Vanderbilt Advisory Services for Bankers Life Advisory Services, Inc. (registered 2026-02-04)Mar 19, 2025 · Advisor changed firm · fact
- Regina V Frias left Vanderbilt Advisory Services for Centaurus Financial, Inc. (registered 2025-05-09)Dec 31, 2024 · Advisor changed firm · fact
- Vanderbilt Advisory Services reported RAUM $1.6B, up 47% from $1.1B (2024-06-11 to 2024-11-25)Nov 25, 2024 · RAUM change · derived
- Vanderbilt Advisory Services reported 43 offices beyond its principal office, up from 25 (2024-06-11 to 2024-11-25)Nov 25, 2024 · Office count change · derived
- Vanderbilt Advisory Services reported 132 state-registered advisory representatives, up from 93 (2024-06-11 to 2024-11-25)Nov 25, 2024 · Advisor headcount change · derived
- Daniel J Nelson left Vanderbilt Advisory Services for Park Avenue Securities Llc (registered 2024-09-16)Sep 13, 2024 · Advisor changed firm · fact
- 3 advisors left Cadaret Grant & CO Inc (Syracuse, NY) for Vanderbilt Advisory Services on the same dayAug 2, 2024 · Team lift-out · derived
- Thomas John Lorenz left Vanderbilt Advisory Services for Webull Advisors Llc (registered 2026-03-12)Jul 24, 2024 · Advisor changed firm · fact
- 2 advisors left Ameriprise Financial Services, LLC (Indianapolis, IN) for Vanderbilt Advisory Services within 4 daysJul 18, 2024 · Team lift-out · derived
- Vanderbilt Advisory Services reported 25 offices beyond its principal office, up from 19 (2023-08-22 to 2023-11-24)Nov 24, 2023 · Office count change · derived
- Albert Bruce Moore left Vanderbilt Advisory Services for Supreme Alliance Llc (registered 2026-02-19)Aug 31, 2023 · Advisor changed firm · fact
- Douglas P Geraghty left Vanderbilt Advisory Services for Flagstar Securities, Inc. (registered 2025-01-07)Aug 1, 2023 · Advisor changed firm · fact
- P Douglas Geraghty (Chief Compliance Officer) no longer on Schedule A of Vanderbilt Advisory Services (listed 2023-05-12, absent 2023-08-01)Aug 1, 2023 · Control person left · inference
- Thomas Wayne Meissner left Vanderbilt Advisory Services for Blackridge Asset Management, Llc (registered 2023-07-07)Jul 7, 2023 · Advisor changed firm · fact
- Christopher Daniel Corritore left Vanderbilt Advisory Services for Osaic Wealth, Inc. (registered 2023-06-15)Jun 15, 2023 · Advisor changed firm · fact
- Stephen E Trask left Vanderbilt Advisory Services for Ip Financial Advisory Services Llc (registered 2023-01-24)Jan 9, 2023 · Advisor changed firm · fact
- Daniel James Prentice left Vanderbilt Advisory Services for Tlg Advisors, Inc. (registered 2022-12-20)Dec 31, 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
- Website
- vanderbiltfg.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 631-845-5100reportedpublic record, Form ADV, Feb 27, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026