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
Tag Associates LLC
Latest filing Jun 26, 2026
First filing on the tape Mar 28, 2012 · 21 filings
SEC status approved since Jan 1, 2002
RAUM
$7.1B
reported, Item 5.F
Discretionary
4.5%
of RAUM
Private clients
97%
$6.9B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$7.1B
derived; firm RAUM over IAPD count
Employees
71
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$7.1B as of Jun 26, 2026
Mar 28, 2012$6.9B then
HNW client RAUM$6.9B as of Jun 26, 2026
Mar 27, 2018$8.4B then
State-registered IARs (5.B.3)1 as of Jun 26, 2026
Mar 22, 20130 then
Employees (5.A)71 as of Jun 26, 2026
Mar 22, 201366 then
Private funds10 as of Jun 26, 2026
Mar 28, 20129 then
RAUM -1.0% over the last fiscal year-4.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- 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)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $7.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $85.7MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.5%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 71.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.1B, 65 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$6.9B97%
- Pooled investment vehicles$202M2.9%
- Pension and profit-sharing plans$8.3M0.1%
- Individual clients
- 0reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,366reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 65 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.97 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Steven Pantowich | New York, Ny | May 1, 2014 | 24 y | 1 |
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
none on the tape
Joined, latest
none on the tape
Private funds
13 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Eric David Basner · Chief Executive Officercontrolsince 10/2010 · owns less than 5%
- Michael Jonathan Bergman · Presidentcontrolsince 03/2019 · owns less than 5%
- Lee Gary Fuhrman · Chairman Of Tag Associates & Tag Holdingscontrolsince 10/2009 · owns less than 5%
- Eric David Basner · Presidentcontrolsince 10/2009 · owns F of Tag Associates Holdings LLC
- Lee Gary Fuhrman · Chairmancontrolsince 10/2009 · owns 75% or more of Tag Associates Holdings LLC
- L Jorge Gonzalez · Chief Compliance Officersince 01/2004 · owns less than 5%
Entity owners
- Tag Associates Holding, LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Gf Capital Asset Advisors, LLCinvestment advisernRAUM $288M
- Gf Capital Asset Management, LLCinvestment advisern
- Gf Capital Cse Gp, LLCpooled vehicle sponsorn
- Gf Capital Private Equity Gp II, LLCpooled vehicle sponsorn
- Gf Capital Private Equity Gp, LLCpooled vehicle sponsorn
- Gf Capital Private Equity Management, LLCinvestment advisern
- Gf Edgecombe Ventures Gp, LLCpooled vehicle sponsorn
- Gf Midtown East Gp, LLCpooled vehicle sponsorn
- Gf P&B Gp, LLCpooled vehicle sponsorn
- Gf Riverside Drive Gp, LLCpooled vehicle sponsorn
- Tag Associates Florida LLCinvestment advisernRAUM $35.5M
- Tag Portfolio Management Group LLCbankpooled vehicle sponsorn
Advisers that list Tag Associates LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Ketchum, ID1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 26, 2026discretionary share of RAUM of 5% against a peer median of 97% (289 comparable advisers, 1.0th percentile, 23.1 robust deviations)peers: independent wealth managers, $5B to $20B (289) · 1.4% percentile
What changed
consecutive filings, newest first
- Accounts · 1,430 to 1,366Sep 17, 2025 to Mar 31, 2026
- Advisory employees · 25 to 23Sep 17, 2025 to Mar 31, 2026
- HNW clients · 94 to 80Sep 17, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 10Sep 17, 2025 to Mar 31, 2026
- Assets in custody · $1.2B to $1.1BSep 17, 2025 to Mar 31, 2026
- Employees · 72 to 71Sep 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $451M to $319MSep 17, 2025 to Mar 31, 2026
- HNW RAUM · $6.9B to $6.9BSep 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $6.7B to $6.7BSep 17, 2025 to Mar 31, 2026
- Pension RAUM · $9.0M to $8.3MSep 17, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $196M to $202MSep 17, 2025 to Mar 31, 2026
- RAUM · $7.1B to $7.1BSep 17, 2025 to Mar 31, 2026
- Accounts · 1,403 to 1,430Mar 28, 2024 to Apr 23, 2025
- Advisory employees · 24 to 25Mar 28, 2024 to Apr 23, 2025
- Advisory activities · 6 to 5Mar 28, 2024 to Apr 23, 2025
- Charity clients · unset to 0.0Mar 28, 2024 to Apr 23, 2025
- Corporate clients · unset to 0.0Mar 28, 2024 to Apr 23, 2025
- HNW clients · 96 to 94Mar 28, 2024 to Apr 23, 2025
- Individual clients · unset to 0.0Mar 28, 2024 to Apr 23, 2025
- Assets in custody · $990M to $1.2BMar 28, 2024 to Apr 23, 2025
- Employees · 71 to 72Mar 28, 2024 to Apr 23, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Apr 23, 2025
- Private funds · 9 to 10Mar 28, 2024 to Apr 23, 2025
- Discretionary RAUM · $338M to $451MMar 28, 2024 to Apr 23, 2025
- HNW RAUM · $8.5B to $6.9BMar 28, 2024 to Apr 23, 2025
- Individual RAUM · unset to 0.0Mar 28, 2024 to Apr 23, 2025
- Non-discretionary RAUM · $8.4B to $6.7BMar 28, 2024 to Apr 23, 2025
- Pension RAUM · $12.5M to $9.0MMar 28, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $199M to $196MMar 28, 2024 to Apr 23, 2025
- RAUM · $8.7B to $7.1BMar 28, 2024 to Apr 23, 2025
- Accounts · 1,263 to 1,403Mar 28, 2023 to Mar 28, 2024
- Advisory employees · 25 to 24Mar 28, 2023 to Mar 28, 2024
- HNW clients · 91 to 96Mar 28, 2023 to Mar 28, 2024
- Assets in custody · $701M to $990MMar 28, 2023 to Mar 28, 2024
- Employees · 73 to 71Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $310M to $338MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $7.9B to $8.5BMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $7.8B to $8.4BMar 28, 2023 to Mar 28, 2024
- Pension RAUM · $12.4M to $12.5MMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $199M to $199MMar 28, 2023 to Mar 28, 2024
Signals
2 dated events
- Michael Jonathan Bergman (President) appeared on Schedule A of Tag Associates LlcMar 29, 2022 · Control person joined · fact
- Howard Stanley Pantowich (Chairman) no longer on Schedule A of Tag Associates Llc (listed 2021-03-31, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- TAG Associates LLC · Independent Sponsorsshared crd · capital_provider
- TAG Associates LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 212-275-1500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-275-1510reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/tag-associatesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- TAGASSOC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-275-1500reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- tagassoc.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- tagassoc.com/about-us/our-peoplereportedpublished by the firm, firm site, Sep 15, 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
- $7.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026