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

Asset Strategies, Inc.

Former SEC-registered adviserAvon, ConnecticutCRD 119661SEC 801-61023IAPD
Latest filing Feb 20, 2024
First filing on the tape Dec 14, 2011 · 25 filings
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$140M as of Feb 20, 2024
Mar 1, 2012$258M then
HNW client RAUM$104M as of Feb 20, 2024
Mar 9, 2018$103M then
State-registered IARs (5.B.3)1 as of Feb 20, 2024
Mar 1, 20120 then
Employees (5.A)10 as of Feb 20, 2024
Feb 28, 20137 then
Private funds: no history
RAUM -0.4% over the last fiscal year+1.4% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 20, 2024; every figure names its basis
RAUM per advisor
$140MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
134derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$231,150derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$4.6M, 4 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)
  • 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
  • High-net-worth individuals$104M75%
  • Individuals$35.1M25%
Individual clients
87reported
HNW clients
47reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
606reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$4.6M for 4 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • James Nolan Robinson · Chief Compliance Officercontrol
    since 06/2023 · owns less than 5%
  • Miles Alan Rothstein · President, Treasurercontrol
    since 02/2002 · owns 75% or more
Related persons
Schedule D 7.A
  • Alan M. Rothstein
    insurancey
  • Nolan J. Robinson
    y
  • Rothstein & Company, LLC
    insurancey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Avon, Ct · principal000
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 144 to 606
    Jul 10, 2023 to Feb 20, 2024
  • Advisory employees · 3 to 2
    Jul 10, 2023 to Feb 20, 2024
  • HNW clients · 43 to 47
    Jul 10, 2023 to Feb 20, 2024
  • Individual clients · 100 to 87
    Jul 10, 2023 to Feb 20, 2024
  • Assets in custody · $13.0M to $4.6M
    Jul 10, 2023 to Feb 20, 2024
  • Custody of client assets · false to true
    Jul 10, 2023 to Feb 20, 2024
  • State-registered IARs · 2 to 1
    Jul 10, 2023 to Feb 20, 2024
  • Discretionary RAUM · $137M to $140M
    Jul 10, 2023 to Feb 20, 2024
  • HNW RAUM · $97.0M to $104M
    Jul 10, 2023 to Feb 20, 2024
  • Individual RAUM · $43.1M to $35.1M
    Jul 10, 2023 to Feb 20, 2024
  • Non-discretionary RAUM · $3.4M to $0
    Jul 10, 2023 to Feb 20, 2024
  • RAUM · $141M to $140M
    Jul 10, 2023 to Feb 20, 2024
  • Accounts · 151 to 144
    Mar 22, 2022 to Mar 23, 2023
  • HNW clients · 45 to 43
    Mar 22, 2022 to Mar 23, 2023
  • Individual clients · 105 to 100
    Mar 22, 2022 to Mar 23, 2023
  • Assets in custody · $16.0M to $13.0M
    Mar 22, 2022 to Mar 23, 2023
  • Discretionary RAUM · $131M to $137M
    Mar 22, 2022 to Mar 23, 2023
  • HNW RAUM · $92.2M to $97.0M
    Mar 22, 2022 to Mar 23, 2023
  • Individual RAUM · $44.5M to $43.1M
    Mar 22, 2022 to Mar 23, 2023
  • Non-discretionary RAUM · $6.6M to $3.4M
    Mar 22, 2022 to Mar 23, 2023
  • RAUM · $137M to $141M
    Mar 22, 2022 to Mar 23, 2023
  • Accounts · 150 to 151
    Nov 17, 2021 to Mar 22, 2022
  • Advisory employees · 2 to 3
    Nov 17, 2021 to Mar 22, 2022
  • HNW clients · 51 to 45
    Nov 17, 2021 to Mar 22, 2022
  • Individual clients · 96 to 105
    Nov 17, 2021 to Mar 22, 2022
  • Assets in custody · $18.0M to $16.0M
    Nov 17, 2021 to Mar 22, 2022
  • Employees · 9 to 10
    Nov 17, 2021 to Mar 22, 2022
  • Discretionary RAUM · $132M to $131M
    Nov 17, 2021 to Mar 22, 2022
  • HNW RAUM · $100M to $92.2M
    Nov 17, 2021 to Mar 22, 2022
  • Individual RAUM · $33.5M to $44.5M
    Nov 17, 2021 to Mar 22, 2022
  • Non-discretionary RAUM · $1.8M to $6.6M
    Nov 17, 2021 to Mar 22, 2022
  • RAUM · $134M to $137M
    Nov 17, 2021 to Mar 22, 2022
  • Succession · true to false
    Mar 26, 2021 to Nov 17, 2021
  • Accounts · 142 to 150
    Jun 5, 2020 to Mar 26, 2021
  • HNW clients · 53 to 51
    Jun 5, 2020 to Mar 26, 2021
  • Individual clients · 88 to 96
    Jun 5, 2020 to Mar 26, 2021
  • Assets in custody · $16.8M to $18.0M
    Jun 5, 2020 to Mar 26, 2021
  • Employees · 10 to 9
    Jun 5, 2020 to Mar 26, 2021
  • Financial planning clients · 101-250 to 51-100
    Jun 5, 2020 to Mar 26, 2021
  • Discretionary RAUM · $125M to $132M
    Jun 5, 2020 to Mar 26, 2021
Signals
3 dated events
  • Alan Miles Rothstein left Asset Strategies, Inc. for Advisory Services Network (registered 2024-04-30)
    Jul 2, 2024 · Advisor changed firm · fact
  • James Nolan Robinson (Chief Compliance Officer) appeared on Schedule A of Asset Strategies, Inc.
    Jul 10, 2023 · Control person joined · fact
  • Asset Strategies, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 26, 2021 · Succession (Item 4) · fact
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