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
Overbrook Management Corporation
Latest filing Apr 8, 2026
First filing on the tape Nov 29, 2011 · 49 filings
SEC status approved since Dec 21, 2001
RAUM
$1.1B
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
52%
$585M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$561M
derived; firm RAUM over IAPD count
Employees
17
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$1.1B as of Apr 8, 2026
Nov 29, 2011$540M then
HNW client RAUM$585M as of Apr 8, 2026
Mar 28, 2018$507M then
State-registered IARs (5.B.3)4 as of Apr 8, 2026
Nov 29, 20120 then
Employees (5.A)17 as of Apr 8, 2026
Nov 29, 201214 then
Private funds3 as of Apr 8, 2026
Nov 29, 20113 then
RAUM +6.6% over the last fiscal year+1.6% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Apr 8, 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
- 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
- $561MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $385M, 32 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$585M55%
- Charitable organizations$287M27%
- Pooled investment vehicles$195M18%
- Individual clients
- n/areported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 311reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $385M for 32 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.52 fund_share=0.17 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Jay Zenker | New York, Ny | Apr 30, 2021 | 36 y | 0 |
| Wade Goehle | New York, Ny | Sep 16, 2025 | 10 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 headcount2 left over 36 months
Left, latest
- Jonathan Daniel Shaban to Avestar Capital, LLCJun 10, 2025 · RIA to RIA
- Christine Jue Munn to Steward Partners Investment Solutions, LLCFeb 20, 2024 · RIA to RIA
Joined, latest
- Christine Jue Munn from UBS Financial Services Inc.Apr 30, 2021 · Wirehouse to independent RIA
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Overbrook Core Equity Fund, LP | Hedge Fund | $185M | 5 | Jan 23, 2024 |
| Overbrook Select Master Fund LPno longer reported | Hedge Fund | $142M | 38 | Aug 1, 2014 |
| Overbrook Opportunity Fund II, LPno longer reported | Other Private Fund | $48.9M | 18 | Mar 27, 2013 |
| Overbrook Opportunity Fund I, LPno longer reported | Other Private Fund | $13.3M | 23 | Mar 27, 2013 |
| Overbrook Alpha Fund, LP | $10.1M | 16 | Apr 8, 2026 | |
| Overbrook Mezzanine Fund, LLCno longer reported | Private Equity Fund | $140,165 | 20 | Nov 29, 2011 |
| Overbrook Private Equity, LLC | Private Equity Fund | $44,572 | 31 | Nov 29, 2011 |
| Overbrook Select Offshore Fund, Ltdno longer reported | Hedge Fund | $0 | 0 | Dec 13, 2019 |
| Overbrook Microcap, LLCno longer reported | Hedge Fund | $0 | 17 | Nov 29, 2011 |
Owners and control persons
Schedule A and B, latest filing
- Goodhart Arthur Altschul · Chairman And Ceocontrolsince 12/2019 · owns 75% or more
- Joseph Frank Siciliano · Cfo/Coocontrolsince 12/2022 · owns less than 5%
- Jay Richard Zenker · President Ceocontrolsince 07/2015 · owns less than 5%
- Allen Richard Appelgren · Managing Directorsince 12/2010 · owns less than 5%
- James Ryan Kanaley · Chief Investment Officersince 03/2024 · owns less than 5%
- Nicole Korrine Sheerin-Kohm · Chief Compliance Officersince 02/2025 · owns less than 5%
Related persons
Schedule D 7.A
- Overbrook Management Advisors, LP (Relying Adviser)investment adviserpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 8, 2026ALTSCHUL, ARTHUR, GOODHART (CHAIRMAN AND CEO) left Schedule A between the filings of 2013-10-18 and 2026-04-08peers: independent wealth managers, $1B to $5B (1,362)
- private fund count surgeChange between filings · filing Apr 8, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-14 and 2026-04-08; the peer median change was 0.0% (126 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (126) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 315 to 311Aug 18, 2025 to Mar 24, 2026
- Advisory employees · 4 to 7Aug 18, 2025 to Mar 24, 2026
- Advisory activities · 4 to 5Aug 18, 2025 to Mar 24, 2026
- HNW clients · 99 to 105Aug 18, 2025 to Mar 24, 2026
- Pooled vehicle clients · 2 to 3Aug 18, 2025 to Mar 24, 2026
- Assets in custody · $385M to $385MAug 18, 2025 to Mar 24, 2026
- Employees · 14 to 17Aug 18, 2025 to Mar 24, 2026
- State-registered IARs · 1 to 4Aug 18, 2025 to Mar 24, 2026
- Discretionary RAUM · $742M to $763MAug 18, 2025 to Mar 24, 2026
- HNW RAUM · $611M to $585MAug 18, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $310M to $359MAug 18, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $82.8M to $195MAug 18, 2025 to Mar 24, 2026
- RAUM · $1.1B to $1.1BAug 18, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 14, 2025 to Aug 18, 2025
- State-registered IARs · 2 to 1Mar 14, 2025 to Aug 18, 2025
- Private funds · 2 to 3Mar 14, 2025 to Aug 18, 2025
- Accounts · 405 to 315Jul 22, 2024 to Mar 14, 2025
- Advisory employees · 3 to 4Jul 22, 2024 to Mar 14, 2025
- Charity clients · 11 to 9Jul 22, 2024 to Mar 14, 2025
- HNW clients · 158 to 99Jul 22, 2024 to Mar 14, 2025
- Pension plan clients · 4.0 to unsetJul 22, 2024 to Mar 14, 2025
- Assets in custody · $353M to $385MJul 22, 2024 to Mar 14, 2025
- Employees · 13 to 14Jul 22, 2024 to Mar 14, 2025
- Discretionary RAUM · $1.1B to $742MJul 22, 2024 to Mar 14, 2025
- HNW RAUM · $826M to $611MJul 22, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $93.4M to $310MJul 22, 2024 to Mar 14, 2025
- Pension RAUM · 5263663.0 to unsetJul 22, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $1.3M to $82.8MJul 22, 2024 to Mar 14, 2025
- RAUM · $1.2B to $1.1BJul 22, 2024 to Mar 14, 2025
- Other offices · 0 to 1Apr 22, 2024 to Jul 22, 2024
- Advisory employees · 5 to 3Mar 1, 2024 to Apr 22, 2024
- Employees · 15 to 13Mar 1, 2024 to Apr 22, 2024
- Accounts · 399 to 405Dec 13, 2023 to Jan 23, 2024
- Advisory employees · 4 to 5Dec 13, 2023 to Jan 23, 2024
- HNW clients · 176 to 158Dec 13, 2023 to Jan 23, 2024
- Pension plan clients · 3 to 4Dec 13, 2023 to Jan 23, 2024
- Pooled vehicle clients · 1 to 2Dec 13, 2023 to Jan 23, 2024
- Assets in custody · $318M to $353MDec 13, 2023 to Jan 23, 2024
- State-registered IARs · 0 to 2Dec 13, 2023 to Jan 23, 2024
- Private funds · 1 to 2Dec 13, 2023 to Jan 23, 2024
Signals
5 dated events
- Jonathan Daniel Shaban left Overbrook Management Corporation for Avestar Capital, Llc (registered 2025-06-25)Jun 10, 2025 · Advisor changed firm · fact
- Christine Jue Munn left Overbrook Management Corporation for Steward Partners Investment Solutions, Llc (registered 2024-02-15)Feb 20, 2024 · Advisor changed firm · fact
- Lloyd Moskowitz (Chief Compliance Officer) no longer on Schedule A of Overbrook Management Corporation (listed 2023-03-06, absent 2023-12-13)Dec 13, 2023 · Control person left · inference
- Jason Andrew Goffe (Ceo, Cio, And Director) no longer on Schedule A of Overbrook Management Corporation (listed 2019-03-28, absent 2019-12-13)Dec 13, 2019 · Control person left · inference
- Overbrook Management Corporation reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 26, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- Overbrook Management · Family Officesshared crd · office
- Overbrook Management Corporation · Independent Sponsorsshared crd · capital_provider
- Overbrook Management Corporation · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 212-661-8710reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 646-365-8588reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/overbrook-management-corporation/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- OVERBROOK.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-661-8710reportedpublic record, Form ADV, Apr 8, 2026
- Team page
- OVERBROOK.COM/our-teamreportedpublished 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
- $561Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026