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

Gerstein Fisher

Former SEC-registered adviserNew York, New YorkCRD 118551SEC 801-60870IAPD
Legal name Gerstein, Fisher & Associates, Inc.
Latest filing Aug 1, 2016
First filing on the tape Mar 14, 2012 · 14 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
45
35 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.9B as of Mar 29, 2016
Mar 14, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Mar 29, 2016
Apr 1, 201313 then
Employees (5.A)45 as of Mar 29, 2016
Apr 1, 201340 then
Private funds: no history
RAUM +4.4% over the last fiscal year+12% a year over threeIARs 14 to 15
Practice profile
derived from the filing of Aug 1, 2016; every figure names its basis
RAUM per advisor
$128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$325,952derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
15.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.4%derivedbetween the last two annual amendments
Advisor growth, one year
+7.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, otherreportedItem 5.G
Custody
$18.0M, 5 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5,880reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$18.0M for 5 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
  • Edward Brian Delman · Chief Compliance Officercontrol
    since 02/2015 · owns less than 5%
  • Scott Gregg Fisher · President, Chief Investment Officercontrol
    since 04/1996 · owns 75% or more
  • Albert William Jollie · Head Of Investment Operationscontrol
    since 10/2011 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 5,696 to 5,880
    Jul 23, 2015 to Mar 29, 2016
  • Advisory employees · 33 to 35
    Jul 23, 2015 to Mar 29, 2016
  • BD registered reps · 16 to 20
    Jul 23, 2015 to Mar 29, 2016
  • Assets in custody · $22.0M to $18.0M
    Jul 23, 2015 to Mar 29, 2016
  • Employees · 42 to 45
    Jul 23, 2015 to Mar 29, 2016
  • Financial planning clients · 26-50 to 1-10
    Jul 23, 2015 to Mar 29, 2016
  • State-registered IARs · 14 to 15
    Jul 23, 2015 to Mar 29, 2016
  • Discretionary RAUM · $2.0B to $1.9B
    Jul 23, 2015 to Mar 29, 2016
  • Non-discretionary RAUM · $31.2M to $23.1M
    Jul 23, 2015 to Mar 29, 2016
  • RAUM · $2.0B to $1.9B
    Jul 23, 2015 to Mar 29, 2016
  • Accounts · 6,077 to 5,696
    Mar 30, 2015 to Jul 23, 2015
  • Discretionary RAUM · $1.8B to $2.0B
    Mar 30, 2015 to Jul 23, 2015
  • Non-discretionary RAUM · $32.3M to $31.2M
    Mar 30, 2015 to Jul 23, 2015
  • RAUM · $1.8B to $2.0B
    Mar 30, 2015 to Jul 23, 2015
  • Accounts · 5,272 to 6,077
    Feb 20, 2015 to Mar 30, 2015
  • Advisory employees · 25 to 33
    Feb 20, 2015 to Mar 30, 2015
  • BD registered reps · 18 to 16
    Feb 20, 2015 to Mar 30, 2015
  • Assets in custody · $26.0M to $22.0M
    Feb 20, 2015 to Mar 30, 2015
  • Employees · 40 to 42
    Feb 20, 2015 to Mar 30, 2015
  • State-registered IARs · 13 to 14
    Feb 20, 2015 to Mar 30, 2015
  • Discretionary RAUM · $1.7B to $1.8B
    Feb 20, 2015 to Mar 30, 2015
  • Non-discretionary RAUM · $44.4M to $32.3M
    Feb 20, 2015 to Mar 30, 2015
  • RAUM · $1.7B to $1.8B
    Feb 20, 2015 to Mar 30, 2015
  • Accounts · 5,414 to 5,272
    Nov 21, 2013 to Mar 14, 2014
  • Assets in custody · $20.0M to $26.0M
    Nov 21, 2013 to Mar 14, 2014
  • Discretionary RAUM · $1.5B to $1.7B
    Nov 21, 2013 to Mar 14, 2014
  • Non-discretionary RAUM · $35.8M to $44.4M
    Nov 21, 2013 to Mar 14, 2014
  • RAUM · $1.6B to $1.7B
    Nov 21, 2013 to Mar 14, 2014
  • Accounts · 5,556 to 5,414
    Jul 18, 2013 to Nov 21, 2013
  • Discretionary RAUM · $1.4B to $1.5B
    Jul 18, 2013 to Nov 21, 2013
  • Non-discretionary RAUM · $41.9M to $35.8M
    Jul 18, 2013 to Nov 21, 2013
  • RAUM · $1.4B to $1.6B
    Jul 18, 2013 to Nov 21, 2013
  • Accounts · 5,148 to 5,556
    Apr 1, 2013 to Jul 18, 2013
  • Assets in custody · $22.7M to $20.0M
    Apr 1, 2013 to Jul 18, 2013
  • Discretionary RAUM · $1.3B to $1.4B
    Apr 1, 2013 to Jul 18, 2013
  • Non-discretionary RAUM · $28.5M to $41.9M
    Apr 1, 2013 to Jul 18, 2013
  • RAUM · $1.4B to $1.4B
    Apr 1, 2013 to Jul 18, 2013
  • Accounts · 5,817 to 5,148
    Sep 21, 2012 to Apr 1, 2013
  • Advisory employees · unset to 25.0
    Sep 21, 2012 to Apr 1, 2013
  • BD registered reps · unset to 18.0
    Sep 21, 2012 to Apr 1, 2013
Signals
No event on the tape.
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