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
Vestgen Investment Management
Wealth manager with institutional or fund businessEgg Harbor Twp., New JerseyCRD 118851SEC 801-60889websiteIAPD
Legal name Vestgen Investment Management, LLC
Latest filing Apr 14, 2026
First filing on the tape Mar 26, 2012 · 53 filings
SEC status approved since Feb 11, 2002
RAUM
$787M
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
37%
$293M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$393M
derived; firm RAUM over IAPD count
Employees
21
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$787M as of Apr 14, 2026
Mar 26, 2012$3.0B then
HNW client RAUM$122M as of Apr 14, 2026
Jan 14, 2021$216M then
State-registered IARs (5.B.3)0 as of Apr 14, 2026
Mar 20, 20131 then
Employees (5.A)21 as of Apr 14, 2026
Mar 20, 201375 then
Private funds: no history
RAUM +12% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $393MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 936derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $604,763derivedHNW RAUM over HNW clients
- Average account
- $334,448derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 47%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$171M43%
- High-net-worth individuals$122M30%
- Investment companies$89.8M22%
- Corporations and businesses$9.7M2.4%
- Pension and profit-sharing plans$7.9M2.0%
- Individual clients
- 1,670reported
- HNW clients
- 201reported
- Pension plan clients
- 31reported
- Charitable clients
- 0reported
- Accounts
- 2,352reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.37 fund_share=0.11 institutional_share=0.01 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Joseph HanlonCertified Financial Planner | Egg Harbor Twp, Nj | Mar 21, 2003 | 43 y | 3 |
| Kevin Edward Looser | Chicago, Il | Jan 17, 2019 | 31 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
- Aaron Lee Williams to Fiscal Wisdom Wealth Management LLCDec 7, 2021 · RIA to RIA
- Alexander S Barned to Absolute Capital Management, LLCDec 4, 2018 · RIA to RIA
- Marc Andrew Luciani to Covered Bridge Advisors, LLCJul 31, 2018 · RIA to RIA
- John Lewis Smallwood to Smallwood Wealth ManagementAug 25, 2017 · Other
- Edward Edgar Bao to Smallwood Wealth ManagementAug 25, 2017 · Other
Joined, latest
- Kevin Edward Looser from SpcJan 17, 2019 · Other
- Marc Andrew Luciani from Cantor Fitzgerald Wealth Partners, LLCOct 4, 2017 · Other
- Alexander S Barned from Cetera Advisor Networks LLCApr 6, 2017 · Other
- John Lewis Smallwood from Commonwealth Financial NetworkNov 9, 2016 · Other
- Edward Edgar Bao from Commonwealth Financial NetworkNov 8, 2016 · Other
- John Joseph Hanlon from Sentra Securities CorporationMar 21, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Smallwood Wealth ManagementAug 25, 2017 · Egg Harbor Twp, Nj
- 2 joined from Commonwealth Financial NetworkNov 8, 2016 · Red Bank, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Thomas Ericson · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- David Joshua Gerry · Ceo Holding Companycontrolsince 09/2024 · owns less than 5%
- Joseph John Hanlon · Ceo And Co-Chief Investment Officercontrolsince 03/2000 · owns less than 5%
- Donald Williams · Chief Operating Officercontrolsince 07/2018 · owns less than 5%
- Bernard Timothy Woods · Chief Legal Counselcontrolsince 09/2024 · owns less than 5%
Entity owners
- Vestgen Wealth Partners Holding, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Vestgen Investment Management as a related person
- 318657 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Egg Harbor Twp, Nj | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,705 to 2,352Mar 28, 2025 to Mar 31, 2026
- Corporate clients · 25 to 22Mar 28, 2025 to Mar 31, 2026
- HNW clients · 120 to 201Mar 28, 2025 to Mar 31, 2026
- Individual clients · 2,091 to 1,670Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · 30 to 31Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $328M to $366MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $74.7M to $122MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $173M to $171MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $377M to $420MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $7.9M to $7.9MMar 28, 2025 to Mar 31, 2026
- RAUM · $705M to $787MMar 28, 2025 to Mar 31, 2026
- Accounts · 2,759 to 2,705Dec 15, 2024 to Mar 28, 2025
- Advisory employees · 20 to 16Dec 15, 2024 to Mar 28, 2025
- Business name · HANLON INVESTMENT MANAGEMENT, INC. to VESTGEN INVESTMENT MANAGEMENTDec 15, 2024 to Mar 28, 2025
- Charity clients · unset to 0.0Dec 15, 2024 to Mar 28, 2025
- Corporate clients · 38 to 25Dec 15, 2024 to Mar 28, 2025
- HNW clients · 75 to 120Dec 15, 2024 to Mar 28, 2025
- Individual clients · 2,290 to 2,091Dec 15, 2024 to Mar 28, 2025
- Pension plan clients · 50 to 30Dec 15, 2024 to Mar 28, 2025
- Employees · 26 to 21Dec 15, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Dec 15, 2024 to Mar 28, 2025
- State-registered IARs · 1 to 0Dec 15, 2024 to Mar 28, 2025
- Discretionary RAUM · $300M to $328MDec 15, 2024 to Mar 28, 2025
- HNW RAUM · $43.1M to $74.7MDec 15, 2024 to Mar 28, 2025
- Individual RAUM · $174M to $173MDec 15, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $307M to $377MDec 15, 2024 to Mar 28, 2025
- Pension RAUM · $8.6M to $7.9MDec 15, 2024 to Mar 28, 2025
- RAUM · $607M to $705MDec 15, 2024 to Mar 28, 2025
- Succession · true to falseDec 15, 2024 to Mar 28, 2025
- Succession · false to trueDec 9, 2024 to Dec 15, 2024
- Legal name · HANLON INVESTMENT MANAGEMENT, INC. to VESTGEN INVESTMENT MANAGEMENT, LLCDec 8, 2024 to Dec 9, 2024
- Succession · true to falseDec 8, 2024 to Dec 9, 2024
- BD registered reps · 5 to 4Apr 30, 2024 to Dec 8, 2024
- State-registered IARs · 2 to 1Apr 30, 2024 to Dec 8, 2024
- Organization form · Corporation to Limited Liability CompanyApr 30, 2024 to Dec 8, 2024
- Succession · false to trueApr 30, 2024 to Dec 8, 2024
- Accounts · 2,709 to 2,759Feb 26, 2024 to Apr 30, 2024
- Corporate clients · 30 to 38Feb 26, 2024 to Apr 30, 2024
- HNW clients · 128 to 75Feb 26, 2024 to Apr 30, 2024
- Individual clients · 2,218 to 2,290Feb 26, 2024 to Apr 30, 2024
Signals
11 dated events
- Hanlon Investment Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 8, 2024 · Succession (Item 4) · fact
- Bernard Timothy Woods (Chief Legal Counsel) appeared on Schedule A of Vestgen Investment ManagementDec 8, 2024 · Control person joined · fact
- David Joshua Gerry (Ceo Holding Company) appeared on Schedule A of Vestgen Investment ManagementDec 8, 2024 · Control person joined · fact
- Vestgen Investment Management reported RAUM $584.5M, up 63% from $359.2M (2023-03-28 to 2023-05-22)May 22, 2023 · RAUM change · derived
- Vestgen Investment Management reported RAUM $359.2M, down 48% from $691.8M (2022-03-21 to 2023-03-10)Mar 10, 2023 · RAUM change · derived
- A Dierdre Downham (Chief Compliance Officer And Chief Administrative Officer) no longer on Schedule A of Vestgen Investment Management (listed 2021-06-07, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- James Thomas Ericson (Chief Compliance Officer) appeared on Schedule A of Vestgen Investment ManagementJun 29, 2021 · Control person joined · fact
- Donald Williams (Chief Operating Officer) appeared on Schedule A of Vestgen Investment ManagementJun 29, 2021 · Control person joined · fact
- Christopher Adamo (Chief Compliance Officer And Senior Counsel) no longer on Schedule A of Vestgen Investment Management (listed 2021-01-14, absent 2021-01-15)Jan 15, 2021 · Control person left · inference
- Vestgen Investment Management reported RAUM $703.6M, down 32% from $1.0B (2018-06-04 to 2019-04-01)Apr 1, 2019 · RAUM change · derived
- Vestgen Investment Management reported RAUM $1.0B, down 35% from $1.6B (2017-09-29 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
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
- Business phone
- 312-237-4446reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/33230540/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- VestGen.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-601-1200reportedpublic record, Form ADV, Apr 14, 2026
- Team page
- vestgen.com/professionalsreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $393Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026